DFX Intelligence

C•••• W•••••• • A••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••• W•••••• • A••••••••• L••

CRD 111521

FRISCO, TX

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Search this name across graphsid dfx:ria:979ef015-d853-0424-0055-8585142c9483

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 145
Dated events: 38
On other graphs: 0
Observed: Mar 7, 2012 to Jun 4, 2026
49 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.58 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $5.0B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $2.9Bderived••• Locked
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 76
RAUM per advisor: $66.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•• C•••••• W•••••	Personal Financial Specialist	PLANO, TX	27	18	n/a	no
S••••• L••••••• C•••	n/a	PLANO, TX	27	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• J•••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2024	Jun 4, 2026	Jun 4, 2026
C•• F•••••••• G••••• L••	MANAGING MEMBER	E	yes	01/2026	Jun 4, 2026	Jun 4, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A••••••• L••	n/a	Independent wealth	$5.1B	N	yes	n/a
S•••••• M••••• L••	n/a	Independent wealth	$576M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kaysville	Ut	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	2	0	2.6%	2	0	0	7	7

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.0B	$4.2B	18.9%	$2.7B	23.6%	341	337	2	2

Relationships

showing 80 of 145

Registered with (71)

← N••••• R••••• N•••••Advisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← A••••• D•••••• M••••••Advisorregistration: current employment
Aug 10, 2026 to presentfactForm ADV
← R••••• E•••••••• I••••Advisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← N•••••• R••• B•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 4, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Jun 4, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jun 4, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:979ef015-d853-0424-0055-8585142c9483
First observed: Mar 7, 2012
Last observed: Jun 4, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.