DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T•••••••• F•••••••• S••••••• I•••

CRD 128240

CHANDLER, AZ

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Search this name across graphsid dfx:ria:ae719440-08c7-8526-db1a-a05071548840

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2026
23 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: $442M••• Locked
Discretionary RAUM: $442M
Private client RAUM: $431Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $147Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••••• E••••• T••••••••	n/a	SUN LAKES, AZ	22	46	n/a	no
J••••• B•••••• J••••••	n/a	CHANDLER, AZ	5	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••• J•••••• B••••••	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	E	yes	03/2024	Mar 29, 2024	Mar 29, 2024

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	$442M	$384M	15.0%	$333M	9.9%	4	4	0	0

Relationships

Registered with (4)

← J•••••• Z••••••••Advisorregistration: current employment
Jun 16, 2025 to presentfactForm ADV
← J••••• B•••••• J••••••Advisorregistration: current employment
Apr 20, 2021 to presentfactForm ADV
← L•••••• E••••• T••••••••Advisorregistration: current employment
Oct 14, 2003 to presentfactForm ADV
← W•••••• W•••••• S••••

Dated events

Occurred
Mar 29, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 22, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-115M
Occurred
Mar 29, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae719440-08c7-8526-db1a-a05071548840
First observed: Mar 28, 2012
Last observed: Mar 31, 2026 5 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.