DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

L••••••••• L••

CRD 288253

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9c654f07-2f4f-0980-f83f-052f82ad6315

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 0
Observed: Jun 8, 2017 to Mar 26, 2019
14 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 7
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• A••••	Member	A	yes	10/2017	Nov 3, 2017	Mar 26, 2019
M••••• S••••••• L•••••••	CHIEF OPERATING OFFICER, MEMBER, CCO	B	yes	05/2017	Jun 8, 2017	Mar 26, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• D••••• A•••••••• L••	n/a	Independent wealth	$882M	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 9, 2018	$275M	$275M	7	3	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$0	n/a	n/a	n/a	n/a	7	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N•••••• A•••••••	2	Jan 16, 2020	Sep 18, 2024	SCOTTSDALE, AZ	Team lift out	Other	66.7%
I••••••••• D••••• A•••••••• L••	3	Feb 14, 2019	Feb 8, 2019

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• D••••• A•••••••• L••	2	Sep 18, 2024	May 29, 2019	CARLSBAD, CA	Team lift out	Other	15.4%
H•••••••• A•••••••• L••	2	Jan 25, 2018	Sep 28, 2017

Relationships

Affiliated with (1)

→ I••••••••• D••••• A•••••••• L••Registered adviserother investment adviser
factForm ADV

Owns (7)

← G••••••• F••••OwnerMEMBER, ownership code NA, individual
Nov 3, 2017 to presentfactForm ADV
← K•••• T•••••• R••••••OwnerMEMBER, ownership code NA, individual
Mar 11, 2019 to presentfactForm ADV
← B••••••••• D••••OwnerMEMBER, ownership code B, individual

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 18, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jul 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 13, 2019
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c654f07-2f4f-0980-f83f-052f82ad6315
First observed: Jun 8, 2017
Last observed: Mar 26, 2019 91 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.