DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

D•• W•••••• L••

CRD 138938

ATLANTA, GA

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:c66873bc-8796-0d2f-4dad-8c2650f0353f

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 51
Dated events: 11
On other graphs: 0
Observed: Dec 8, 2011 to Mar 30, 2026
45 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: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=31.0
Regulatory AUM: $330M••• Locked
Discretionary RAUM: $322M
Private client RAUM: $293Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 25
RAUM per advisor: $13.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• G••••• M••••••••	n/a	ATLANTA, GA \| MANKATO, MN \| CODY, WY	12	41	1	yes
J••• J•••• M••••••••	n/a	MANKATO, MN \| ATLANTA, GA	12	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• C••••••	VP, COMPLIANCE OFFICER	Na	yes	09/2019	Nov 29, 2023	Mar 25, 2024
C• C•••••• H••••••• L••	Member	A	yes	10/2022	Nov 29, 2023	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•• A•••••• L••	n/a	n/a	n/a	N	yes	n/a
D•• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Mankato	Mn	United States	6	yes
Hingham	Ma	United States	2	yes
Mankato	Mn	United States	2	yes
Albuquerque	Nm	United States	2	yes
Edmond	Ok	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	4.0%	0	0	0	8	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$330M	$267M	23.4%	$108M	45.1%	40	32	15	11

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•• I••••••••• A•••••••• I•••	2	Dec 22, 2022	Dec 19, 2022	EDMOND, OK	Team lift out	Ibd to RIA	1.8%

Relationships

Registered with (33)

← A••••• K••• I••••••••Advisorregistration: current employment
Jan 23, 2026 to presentfactForm ADV
← R•• P••• O••••Advisorregistration: current employment
Jan 4, 2026 to presentfactForm ADV
← J•••• G••••••Advisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← A••••• T••••• F•••

Dated events

Occurred
Feb 26, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$115M
Occurred
Jun 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 29, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c66873bc-8796-0d2f-4dad-8c2650f0353f
First observed: Dec 8, 2011
Last observed: Mar 30, 2026 5 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.

Controls (13)

← M••••••••• J•••••• G•••••OwnerCO-TRUSTEE, ownership code D, individual
Dec 8, 2011 to Mar 25, 2024factForm ADV
← I•••••• M••••••• A•••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Sep 1, 2021 to Mar 25, 2024factForm ADV
← M•••••• J•••• R•OwnerSVP, WEALTH MANAGEMENT, ownership code NA, individual
Nov 29, 2023 to Mar 25, 2024factForm ADV
← C••••••••• C••••• M••••••OwnerMEMBER, ownership code E, individual
Nov 29, 2023 to Mar 25, 2024factForm ADV
← S••••••• E•••••• G•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 30, 2019 to Mar 25, 2024factForm ADV
← B••••• C••••••OwnerVP, COMPLIANCE OFFICER, ownership code NA, individual
Nov 29, 2023 to Mar 25, 2024factForm ADV
← M••••••••• C••••••••• E••••OwnerCO-TRUSTEE, ownership code D, individual
Dec 8, 2011 to Mar 25, 2024factForm ADV
← O••••••• M••••••• E•••••OwnerOWNER, ownership code E, individual
Nov 29, 2023 to Mar 25, 2024factForm ADV
← C• C•••••• H••••••• L••OwnerMEMBER, ownership code A, domestic entity
Nov 29, 2023 to Mar 25, 2024factForm ADV
← D•• H•••••••• L••OwnerOWNER, ownership code E, domestic entity
Mar 27, 2020 to Mar 25, 2024factForm ADV
← M••• O•••••• R••• E•••••• I•••OwnerMEMBER, ownership code A, domestic entity
Nov 29, 2023 to Mar 25, 2024factForm ADV
← T•• C•••••••• E• M•••••••• R•••••••• L••••• T•••• D••• 9••••••••OwnerOWNER, ownership code D, domestic entity
Mar 27, 2020 to Mar 25, 2024factForm ADV
← T•• J••••• G• M•••••••• R•••••••• L••••• T•••• D••• 9••••••••OwnerOWNER, ownership code D, domestic entity
Mar 27, 2020 to Mar 25, 2024factForm ADV