DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S••••• A•••• M••••••••• S•••••••• L••

CRD 132373

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Search this name across graphsid dfx:ria:bb8b9b6d-f1c4-31a2-87c4-b1c3f23e149f

Data as of May 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to May 24, 2012
3 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: $45.0M••• Locked
Discretionary RAUM: $35.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $45.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••••• C•••••• S••••	n/a	SCOTTSDALE, AZ	22	41	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• G•••••• C••••••	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	E	yes	07/2004	Mar 21, 2012	May 24, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 21, 2012	$45.0M	$35.0M	n/a	n/a	n/a	n/a	n/a

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
2011	$45.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← S••••• G•••••• C••••••OwnerMANAGING MEMBER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (1)

← G••••• C•••••• S••••Advisorregistration: current employment
Sep 14, 2004 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb8b9b6d-f1c4-31a2-87c4-b1c3f23e149f
First observed: Mar 21, 2012
Last observed: May 24, 2012 174 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.