DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••••• F•••• I••••••••• A••••••• L••

CRD 106984

OMAHA, NE

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Search this name across graphsid dfx:ria:9de62fb9-5e24-c73d-2ee1-8c4221a7935a

Data as of Aug 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 3
On other graphs: 0
Observed: Nov 28, 2011 to Aug 7, 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $665M••• Locked
Discretionary RAUM: $665M
Private client RAUM: $658Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $95.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• M•••••• B•••	Chartered Financial Analyst	MIDDLEBURY, IN \| OMAHA, NE	27	30	n/a	no
B•••• W••• D••••••	Chartered Financial Analyst	OMAHA, NE	20	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• H••••••• L••	100% MEMBER	E	yes	10/2014	Oct 6, 2014	Dec 16, 2024
B•••• E•••• M••••••	CHIEF EXECUTIVE OFFICER, MANAGER	Na	yes	10/2002	Nov 28, 2011	Dec 16, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
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
0	0	0	0.0%	0	0	0	0	0

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	$665M	$594M	12.0%	$425M	16.1%	7	7	1	1

Relationships

Registered with (10)

← S•••••• G• P••••Advisorregistration: current employment
Nov 14, 2025 to presentfactForm ADV
← A••••• J••• H•••••••Advisorregistration: current employment
Nov 7, 2023 to presentfactForm ADV
← A•• L••• B••••Advisorregistration: current employment
Apr 11, 2019 to presentfactForm ADV
← K••••••• M••••••• W••••

Dated events

Occurred
Feb 3, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 3, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 3, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9de62fb9-5e24-c73d-2ee1-8c4221a7935a
First observed: Nov 28, 2011
Last observed: Aug 7, 2026 46 days 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.