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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

S•• I••••••••• A•••••••• I•••

CRD 123608

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c47a5698-ac4a-2236-5925-20469c6f0d2e

Data as of Jul 1, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 266
Dated events: 40
On other graphs: 2
Observed: Nov 15, 2011 to Jul 1, 2025
82 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•• I••••••••• A•••••••• I•••

Intermediary · shared crd

Allocatorsidentity

S•• I••••••••• A•••••••• I•••

Investment consultant · shared crd

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: $1.3BItem 5.F on the latest filing (2025-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $774M
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• W••••• S••••••••• I•••	Shareholder	E	yes	10/2024	Apr 26, 2021	Oct 31, 2024
A•• 9• I•••	Shareholder	E	yes	04/2021	Apr 26, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• F•••••••• L••	n/a	Bd affiliated wealth	$819B	N	yes	n/a
L•• E••••••••• L••	n/a	Bd affiliated wealth	$25B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW BERLIN	Wi	United States	7	yes
Bakersfield	CA	United States	6	yes
Safford	Az	United States	4	no
Frisco	TX	United States	4	yes
Plano	TX

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.3B	$2.6B	-47.2%	$1.9B	-10.9%	263	351	52	76

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• C••••••	5	Dec 31, 2024	Dec 11, 2024	PLANO, TX	Team lift out	Ibd to new firm	8.1%
O•• B••••• W•••••• I••	2	Dec 24, 2024

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• V••• C•••••• M••••••••• L••	7	Jul 18, 2023	Jul 18, 2023	NEW BERLIN, WI	Team lift out	RIA to ibd	8.8%
G••••• V••• C•••••• M••••••••• L••	3	Jul 18, 2023

Relationships

showing 80 of 266

Affiliated with (17)

← L•• F•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L•• E••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••••• P•••••• F••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C••• F•••••••• S•••••••• L•••Registered adviser

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 7, 2025
A•••••• firm change
Stephen Derengowski left S•• I••••••••• A•••••••• I••• for Transamerica Financial Advisors, Llc (registered 2025-10-30)
Form ADVobserved 6 days ago
Occurred
May 1, 2025
A•••••• firm change
David Michael Robertson left S•• I••••••••• A•••••••• I••• for S•• S••••••••• I••• (registered 2005-11-22)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2025
Regulatory AUM changed
S•• I••••••••• A•••••••• I••• reported RAUM $1.3B, down 47% from $2.6B (2025-01-03 to 2025-03-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c47a5698-ac4a-2236-5925-20469c6f0d2e
First observed: Nov 15, 2011
Last observed: Jul 1, 2025 14 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.

Registered with (61)

← Ria GostAdvisorregistration: previous registration
Mar 3, 2022 to Sep 30, 2025factForm ADV
← LAURA NICOLE WHITEAdvisorregistration: previous registration
Nov 21, 2023 to Sep 26, 2025factForm ADV
← Gregory A WillibeyAdvisorregistration: previous registration
Mar 25, 2024 to Jul 7, 2025factForm ADV
← Stephen DerengowskiAdvisorregistration: previous registration
Apr 13, 2022 to Jul 7, 2025factForm ADV
← G•••• FRANK WILKINSONAdvisorregistration: previous registration
Jan 6, 2015 to May 14, 2025factForm ADV
← LESLIE ROBERT ROSENBLATTAdvisorregistration: previous registration
Jul 14, 2014 to May 14, 2025factForm ADV
← MICHAEL E••••• TROXLERAdvisorregistration: previous registration
Apr 2, 2003 to May 14, 2025factForm ADV
← KRIS MICHAEL PELSTERAdvisorregistration: previous registration
Nov 28, 2011 to May 14, 2025factForm ADV
← JUSTIN THOMAS LELANDAdvisorregistration: previous registration
Aug 31, 2015 to May 14, 2025factForm ADV
← BEVERLY BILES COXAdvisorregistration: previous registration
May 13, 2013 to May 13, 2025factForm ADV
← GERALD WAYNE PARENTAdvisorregistration: previous registration
Sep 17, 2013 to May 2, 2025factForm ADV
← JOSEPH MICHAEL GOLLAdvisorregistration: previous registration
Apr 7, 2014 to May 2, 2025factForm ADV
← KYLE JORDAN GARDNERAdvisorregistration: previous registration
Jul 2, 2014 to May 2, 2025factForm ADV
← SHERYL ROSELYN JOHNSONAdvisorregistration: previous registration
Feb 8, 2019 to May 1, 2025factForm ADV
← LEO LAMOND SYPHUSAdvisorregistration: previous registration
Nov 4, 2013 to May 1, 2025factForm ADV
← JAMES ANTHONY JOHNSONAdvisorregistration: previous registration
Nov 6, 2015 to May 1, 2025factForm ADV
← D•••• ALEXANDER TESITORAdvisorregistration: previous registration
Aug 22, 2013 to May 1, 2025factForm ADV
← G•••• ROY GARDNERAdvisorregistration: previous registration
Aug 24, 2018 to May 1, 2025factForm ADV
← WILLIAM MARTIN PERRYAdvisorregistration: previous registration
Aug 11, 2017 to May 1, 2025factForm ADV
← RENE SAUL LICONAdvisorregistration: previous registration
Sep 15, 2014 to May 1, 2025factForm ADV
← JOHN ANSON CALHOUNAdvisorregistration: previous registration
Sep 26, 2018 to May 1, 2025factForm ADV
← PAMELA G MILLER-GONZALESAdvisorregistration: previous registration
Dec 11, 2018 to May 1, 2025factForm ADV
← CHRISTOPHER SCOTT TOOLAdvisorregistration: previous registration
Jan 27, 2021 to May 1, 2025factForm ADV
← SCOTT LAWRENCE CLARKAdvisorregistration: previous registration
Apr 3, 2003 to May 1, 2025factForm ADV
← JOHN LAVERN LYMATHAdvisorregistration: previous registration
Oct 24, 2016 to May 1, 2025factForm ADV
← ERIK MICHAEL JOHNSONAdvisorregistration: previous registration
Jan 29, 2019 to May 1, 2025factForm ADV
← DERRICK SCOTT HAMMAdvisorregistration: previous registration
Aug 2, 2017 to May 1, 2025factForm ADV
← D•••• MICHAEL ROBERTSONAdvisorregistration: previous registration
Jul 12, 2005 to May 1, 2025factForm ADV
← RYAN P MCGONIGALAdvisorregistration: previous registration
Nov 18, 2022 to May 1, 2025factForm ADV
← ANDREW THEOPHILE MARRACHAdvisorregistration: previous registration
Nov 4, 2015 to May 1, 2025factForm ADV
and 31 more

2024	Mar 28, 2025	$1.3B	$774M	263	61	52	n/a	n/a
2023	Mar 28, 2024	$2.6B	$2.0B	351	135	76	n/a	n/a
2022	Mar 31, 2023	$1.8B	$1.6B	267	166	73	n/a	n/a
2021	Mar 31, 2022	$1.9B	$1.7B	183	133	91	n/a	n/a
2020	Mar 30, 2021	$1.6B	$1.4B	130	130	93	n/a	n/a
2019	Apr 30, 2020	$1.4B	$1.2B	130	130	93	n/a	n/a
2018	Mar 29, 2019	$1.2B	$1.0B	137	137	95	n/a	n/a
2017	Apr 2, 2018	$1.0B	$930M	120	120	92	n/a	n/a
2016	Mar 29, 2017	$1.2B	$1.1B	115	115	n/a	n/a	n/a
2015	Mar 24, 2016	$966M	$923M	108	108	n/a	n/a	n/a
2014	Mar 31, 2015	$865M	$829M	74	74	n/a	n/a	n/a
2013	Mar 26, 2014	$543M	$543M	74	74	n/a	n/a	n/a
2012	Mar 26, 2013	$295M	$0	54	54	n/a	n/a	n/a
2011	Jan 24, 2012	$185M	$185M	n/a	n/a	n/a	n/a	n/a