DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B•• F•••••••• G••••• L••

CRD 144652

TUCSON, AZ

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Search this name across graphsid dfx:ria:ac7d425f-5d48-eacd-d4d4-fbf71a97750c

Data as of May 18, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to May 18, 2015
11 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: $307M••• Locked
Discretionary RAUM: $304M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• S••••• D••••••	MEMBER/VP OF INVESTMENTS	E	yes	12/2006	Mar 16, 2012	May 18, 2015
R••••••• L•••••• M••••	CHIEF COMPLIANCE OFFICER/ASSOCIATE VP/INVESTMENTS	Na	yes	12/2006	Mar 16, 2012	May 18, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 28, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$307M	$259M	18.3%	$175M	20.6%	11	14	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G• F•••••••• G••••• L••	5	May 29, 2015	Feb 10, 2015	TUCSON, AZ	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← G••••••• S••••• D••••••OwnerMEMBER/VP OF INVESTMENTS, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV
← R••••••• L•••••• M••••OwnerCHIEF COMPLIANCE OFFICER/ASSOCIATE VP/INVESTMENTS, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV

Registered with (6)

← S•••• D•••••• G••••••Advisorregistration: previous registration
Jul 26, 2007 to May 29, 2015factForm ADV
← L••••• M•••• R••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac7d425f-5d48-eacd-d4d4-fbf71a97750c
First observed: Mar 16, 2012
Last observed: May 18, 2015 138 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.