DFX Intelligence

N•••••• E•••• 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

N•••••• E•••• L••

CRD 316474

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Search this name across graphsid dfx:ria:bd9d9aa7-f21d-f6c9-df55-95fb2d285a5b

Data as of Apr 6, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 18, 2021 to Apr 6, 2022
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: $1.7M••• Locked
Discretionary RAUM: $1.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• C••••••• E••••	CO-CHIEF INVESTMENT OFFICER & PRESIDENT	D	yes	08/2021	Aug 18, 2021	Apr 6, 2022
P••••••• S•••• T•••••	CO-CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER	D	yes	08/2021	Aug 18, 2021	Apr 6, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• P•••••• W••••• L••	n/a	Former SEC adviser	$3.2M	N	yes	n/a
B•••••• C••••••• E••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Apr 6, 2022	$1.7M	$1.7M	2	2	1	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
2021	$1.7M	n/a	n/a	n/a	n/a	2	n/a	1	n/a

Relationships

Affiliated with (1)

→ N•••••• P•••••• W•••••Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← B•••••• C••••••• E••••OwnerCO-CHIEF INVESTMENT OFFICER & PRESIDENT, ownership code D, individual
Aug 18, 2021 to presentfactForm ADV
← P••••••• S•••• T•••••OwnerCO-CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER, ownership code D, individual
Aug 18, 2021 to presentfactForm ADV

Registered with (1)

Dated events

Occurred
Dec 9, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 18, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd9d9aa7-f21d-f6c9-df55-95fb2d285a5b
First observed: Aug 18, 2021
Last observed: Apr 6, 2022 54 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.