DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D•• P•••••••• A••••••• L••

CRD 309927

BOZEMAN, MT

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Search this name across graphsid dfx:ria:97d36cb0-eefc-216b-57a1-68fd7041fe65

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Oct 13, 2020 to Mar 11, 2026
9 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $229M••• Locked
Discretionary RAUM: $229M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• M••••• R•••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2020	Oct 13, 2020	Feb 28, 2024
D••••• C•••••• A••••••• L••	MEMBER AND MANAGER	D	yes	02/2021	Oct 13, 2020	Feb 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• C•••••• A••••••• L••	n/a	Asset manager	$464M	N	yes	n/a
D••••• C•••••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026

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	$229M	$245M	-6.8%	$216M	1.9%	3	3	0	0

Relationships

Affiliated with (3)

← F••••••• • C••••••• I•••••••••Registered adviserother investment adviser, control
factForm ADV
← D••••• C•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ D••••• C•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← F••••••• • C••••••• I•••••••••Owner

Dated events

Occurred
Mar 21, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-112M
Occurred
Oct 13, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97d36cb0-eefc-216b-57a1-68fd7041fe65
First observed: Oct 13, 2020
Last observed: Mar 11, 2026 6 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.