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CRD 116771
FLAGSTAFF, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•••• D••••••• H••• | n/a | MESA, AZ | FLAGSTAFF, AZ | Mesa, AZ | SCOTTSDALE, AZ | PHOENIX, AZ | 29 | 33 | n/a | yes |
| K•••• M•••••• T••••••••• | Certified Financial Planner | FLAGSTAFF, AZ | 23 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••••• I•••••••• B•••••• | Shareholder | E | yes | 05/2023 | Jun 15, 2023 | Feb 26, 2024 |
| H••••••••• F••••••• M•••••• | CHIEF EXECUTIVE OFFICER | C | yes | 09/1988 | Jun 15, 2023 | Feb 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H•••••••• I•••••••• B•••••• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Mesa | Az | United States | 2 | yes |
| Phoenix | Az | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $410M | $316M | 29.7% | $259M | 16.5% | 12 | 11 | 7 | 3 |
| yes |
| T••••• W•••• K••••• | n/a | FLAGSTAFF, AZ | 18 | 22 | n/a | yes |
| E••• L•• S•••••• | n/a | FLAGSTAFF, AZ | 17 | 27 | 1 | yes |
| J•••• J• D••••••••• | n/a | FLAGSTAFF, AZ | CAVE CREEK, AZ | MESA, AZ | Mesa, AZ | PHOENIX, AZ | 10 | 26 | n/a | yes |
| D•••• N••••••• H••• | n/a | PHOENIX, AZ | Mesa, AZ | FLAGSTAFF, AZ | 1 | 12 | n/a | yes |
| A•• B••• M••••• | n/a | FLAGSTAFF, AZ | PHOENIX, AZ | 0 | 15 | n/a | no |
| C••••••• A••• T••••• | n/a | Walnut Creek, CA | FLAGSTAFF, AZ | WALNUT CREEK, CA | 0 | 10 | 1 | yes |
| CHAIRMAN OF THE BOARD |
| Na |
| yes |
| 05/2023 |
| Jun 15, 2023 |
| Feb 26, 2024 |
| H•••• J••••• D••••••• | PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 11/1996 | Feb 10, 2012 | Feb 26, 2024 |
| T•••••••• B••••• A•••••••• | Director | Na | yes | 05/2023 | Jun 15, 2023 | Feb 26, 2024 |
| Mar 18, 2026 |
| $410M |
| $410M |
| 12 |
| 5 |
| 6 |
| n/a |
| n/a |
| 2024 | Mar 7, 2025 | $316M | $316M | 11 | 4 | 3 | n/a | n/a |
| 2023 | Feb 22, 2024 | $295M | $295M | 10 | 4 | 2 | n/a | n/a |
| 2022 | Mar 15, 2023 | $259M | $259M | 11 | 5 | 2 | n/a | n/a |
| 2021 | Feb 28, 2022 | $319M | $319M | 11 | 5 | 2 | n/a | n/a |
| 2020 | Feb 17, 2021 | $258M | $258M | 11 | 5 | 2 | n/a | n/a |
| 2019 | Jan 31, 2020 | $217M | $217M | 8 | 5 | 2 | n/a | n/a |
| 2018 | Feb 11, 2019 | $171M | $171M | 8 | 5 | 2 | n/a | n/a |
| 2017 | Mar 9, 2018 | $165M | $165M | 8 | 5 | 1 | n/a | n/a |
| 2016 | Feb 22, 2017 | $127M | $127M | 8 | 5 | n/a | n/a | n/a |
| 2015 | Feb 11, 2016 | $113M | $113M | 7 | 4 | n/a | n/a | n/a |
| 2014 | Feb 4, 2015 | $112M | $112M | 7 | 4 | n/a | n/a | n/a |
| 2013 | Feb 14, 2014 | $127M | $127M | 7 | 4 | n/a | n/a | n/a |
| 2012 | Feb 13, 2013 | $132M | $132M | 8 | 5 | n/a | n/a | n/a |
| 2011 | Feb 10, 2012 | $141M | $141M | n/a | n/a | n/a | n/a | n/a |