DFX Intelligence

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

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

P•••••••• W••••• M•••••••••

MDS INVESTMENTS, INC., CRD 113792

PRESCOTT, AZ

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Search this name across graphsid dfx:ria:bd8757e8-fcdd-9a6b-46dd-a4b973f68e56

Data as of Apr 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Apr 23, 2012
6 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: $35,250••• Locked
Discretionary RAUM: $35,250
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 210

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• J••••• C••••••••	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	10/1997	Nov 18, 2011	Apr 23, 2012
S•••••••• M••••••• D••••	President	D	yes	10/1997	Nov 18, 2011	Apr 23, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• C• S•••••••	n/a	n/a	n/a	Y	no	n/a
P•••••••• C••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 23, 2012	$35,250	$35,250	n/a	n/a	n/a	n/a	n/a

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	$35,250	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← S•••••••• M••••••• D••••OwnerPRESIDENT, ownership code D, individual
Nov 18, 2011 to presentfactForm ADV
← S•••••••• J••••• C••••••••OwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Nov 18, 2011 to presentfactForm ADV

Registered with (2)

← M•••••• D•••• S•••••••Advisorregistration: previous registration
Jun 7, 2011 to Apr 1, 2019factForm ADV
← J•••• C•••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd8757e8-fcdd-9a6b-46dd-a4b973f68e56
First observed: Nov 18, 2011
Last observed: Apr 23, 2012 175 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.