DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

P•••••••• • A••••••• I••

CRD 111033

LINCOLN, NE

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Search this name across graphsid dfx:ria:a22ac94b-d00a-c9a0-f94f-9b353488693b

Data as of Jan 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 4
On other graphs: 0
Observed: Dec 22, 2011 to Jan 7, 2026
21 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=0.54 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.0B••• Locked
Discretionary RAUM: $3.0B
Private client RAUM: $1.6Bderived••• Locked
Private client share: 54%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $217Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•• J••••• S•••••••	Certified Financial Planner	LINCOLN, NE	24	28	n/a	no
D•••• L••• K••••	Certified Financial Planner	LINCOLN, NE	24	25	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• B••••• A•••	PARTNER/ PRESIDENT	B	yes	01/2014	Jan 7, 2026	Jan 7, 2026
P••••••••• J••••• S•	FOUNDER/ RETIRED	B	yes	04/1995	Jan 7, 2026	Jan 7, 2026

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	1	-1	7.1%	0	0	0	1	1

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	$3.0B	$3.3B	-8.4%	$2.3B	10.4%	14	14	0	0

Relationships

Registered with (20)

← C•••••• D• F••••Advisorregistration: current employment
Jun 17, 2026 to presentfactForm ADV
← J•••• A•• S••••••Advisorregistration: current employment
May 20, 2025 to presentfactForm ADV
← J••••• S••••••••Advisorregistration: current employment
Feb 8, 2024 to presentfactForm ADV
← A••••• N•••••

Dated events

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

Occurred
Jun 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 23, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$832M
Occurred
Jan 11, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a22ac94b-d00a-c9a0-f94f-9b353488693b
First observed: Dec 22, 2011
Last observed: Jan 7, 2026 8 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.