DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

G•••••• G•••••• • S••••• L••

CRD 153410

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:a6270363-8774-1fd7-509f-18ccd03c71d5

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Sep 3, 2026
44 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=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $169Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• R•••••• G•••••	n/a	Ann Arbor, MI \| Fort Collins, CO \| SCOTTSDALE, AZ \| BROOMFIELD, CO	15	28	3	no
S•••••• L•• G••••••	n/a	New York, NY \| Sewickley, PA \| PITTSBURGH, PA \| SCOTTSDALE, AZ	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••••• K••• Q••••	Cco	Na	yes	11/2015	Sep 3, 2026	Sep 3, 2026
M• S••••• L••	MEMBER AND MANAGER	C	yes	01/2019	Sep 3, 2026	Sep 3, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Broomfield	Co	United States	3	no
FORT COLLINS	Co	United States	3	no
Bellevue	Wa	United States	2	no
BEVERLY HILLS	CA	United States	1	no
NEW YORK	NY	United States

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
1	0	1	0.0%	0	0	0	1	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	$1.4B	$1.2B	10.6%	$1.1B	7.0%	17	16	10	8

Relationships

Controls (8)

← S••••• L••OwnerMEMBER AND MANAGER, ownership code C, domestic entity
Sep 3, 2026 to presentfactForm ADV
← S•••••• R• G••••• A•••• M•••••••••OwnerMEMBER MANAGER, ownership code C, domestic entity
Sep 3, 2026 to presentfactForm ADV
← M• S••••• L••OwnerMEMBER AND MANAGER, ownership code C, domestic entity
Sep 3, 2026 to presentfactForm ADV
← J•••••••• K••• Q••••OwnerCCO, ownership code NA, individual
Sep 3, 2026 to presentfact

Dated events

Occurred
Feb 24, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 17, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$288M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6270363-8774-1fd7-509f-18ccd03c71d5
First observed: Mar 29, 2012
Last observed: Sep 3, 2026 20 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.