DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 171750
LAS VEGAS, NV
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| K•••••• N••• H•••••• | n/a | LAS VEGAS, NV | 12 | 41 | 2 | no |
| C••••••••• M• W•••• | Certified Financial Planner | Rock Springs, WY | LAS VEGAS, NV | 1 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• J••••• J••••••• | PRESIDENT AND CCO | Na | yes | 05/2024 | May 28, 2024 | Dec 16, 2024 |
| D•••••••• F•••••• A•••••• E•••• | DIRECTOR OF FINANCIAL PLANNING | Na | yes | 05/2024 | May 28, 2024 | Dec 16, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chandler | Az | United States | 1 | no |
| Savannah | Ga | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 11, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $287M | $1.1B | -73.9% | $146M | 25.3% | 9 | 13 | 8 | 5 |
| no |
| A••••• J••••• K••••• | n/a | Omaha, NE | LAS VEGAS, NV | 1 | 23 | 5 | no |
| J••• E• Q••••••• | n/a | Gallatin, TN | LAS VEGAS, NV | 1 | 19 | n/a | no |
| P•••••• J• W•••• | n/a | Sebastian, FL | 0 | 27 | 6 | no |
| J•••• P•••• | n/a | Sarasota, FL | 0 | 11 | n/a | no |
| CHIEF EXECUTIVE OFFICER |
| E |
| yes |
| 01/2016 |
| Aug 11, 2014 |
| Dec 16, 2024 |
| $287M |
| $287M |
| 10 |
| 6 |
| 8 |
| n/a |
| n/a |
| 2024 | Feb 19, 2025 | $1.1B | $239M | 13 | 6 | 5 | n/a | n/a |
| 2023 | Mar 20, 2024 | $198M | $194M | 5 | 5 | 2 | n/a | n/a |
| 2022 | Mar 30, 2023 | $146M | $146M | 5 | 5 | 3 | n/a | n/a |
| 2021 | Mar 29, 2022 | $192M | $192M | 7 | 7 | 4 | n/a | n/a |
| 2020 | Mar 19, 2021 | $181M | $181M | 10 | 10 | 0 | n/a | n/a |
| 2019 | Jan 29, 2020 | $151M | $151M | 5 | 5 | 1 | n/a | n/a |