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

THREE G FINANCIAL, LLC

THREE G FINANCIAL, LLC., CRD 148072

LAS VEGAS, NV

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:cc6a2d60-2789-7325-04cf-2be8925ae7e2

Data as of Oct 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Oct 8, 2012
4 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: $66.2MItem 5.F on the latest filing (2012-10-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $66.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number: 801-69579
CRD: 148072
Filings on the tape: 4
First filed: Nov 8, 2011
Latest filed: Oct 8, 2012
Organised: Limited Liability Company, Nevada

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
HICKS, BRENT, STEVEN	Member	C	yes	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS, CHRISTOPHER, KEIL	Trustee	D	yes	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS, CHRISTOPHER, KEIL	Member	C	yes	07/2008	Nov 8, 2011	Oct 8, 2012
SAKODA, TODD, KIYOSHI	CHIEF COMPLIANCE OFFICER	Na	yes	07/2008	Nov 8, 2011	Oct 8, 2012
DAWSON, JR., ALBERT, MARVIN	Trustee	D	no	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS FAMILY 2008 TRUST (CHRIS AND LISA HICKS TTEES)	Member	B	no	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS-DAWSON FAMILY 2008 TRUST (ERIN HICKS-DAWSON AND AL DAWSON TTEES)	Member	A	no	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS-DAWSON, ERIN, KLAUDINE	Member	B	no	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS-DAWSON, ERIN, KLAUDINE	Trustee	D	no	07/2008	Nov 8, 2011	Oct 8, 2012
HICKS, LISA, DIANE	Trustee	D	no	07/2008	Nov 8, 2011	Oct 8, 2012

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
FOCUS POINT SOLUTIONS, INC	n/a	Former SEC adviser	$6.8B	N	yes	n/a
CS PLANNING CORP	n/a	Independent wealth	$2.0B	N	yes	n/a
THE H GROUP, INC.	n/a	Former SEC adviser	$580M	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Portland	Or	United States	n/a	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 2, 2012	$66.2M	$66.2M	n/a	n/a	n/a	n/a	n/a

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
2011	$66.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ THE H GROUP, INC.Registered adviserother investment adviser, common control
factForm ADV
→ FOCUSPOINT SOLUTIONS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CS PLANNING CORPRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← HICKS, BRENT, STEVENOwnerMEMBER, ownership code C, individual
Nov 8, 2011 to presentfactForm ADV
← SAKODA, TODD, KIYOSHIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV
← HICKS, CHRISTOPHER, KEILOwnerTRUSTEE, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV

Owns (5)

← HICKS, LISA, DIANEOwnerTRUSTEE, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV
← HICKS-DAWSON, ERIN, KLAUDINEOwnerTRUSTEE, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV
← DAWSON, JR., ALBERT, MARVINOwnerTRUSTEE, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV
← HICKS FAMILY 2008 TRUST (CHRIS AND LISA HICKS TTEES)OwnerMEMBER, ownership code B, domestic entity
Nov 8, 2011 to presentfactForm ADV
← HICKS-DAWSON FAMILY 2008 TRUST (ERIN HICKS-DAWSON AND AL DAWSON TTEES)OwnerMEMBER, ownership code A, domestic entity
Nov 8, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc6a2d60-2789-7325-04cf-2be8925ae7e2
First observed: Nov 8, 2011
Last observed: Oct 8, 2012 169 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.

THREE G FINANCIAL, LLC

THREE G FINANCIAL, LLC., CRD 148072

LAS VEGAS, NV

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:cc6a2d60-2789-7325-04cf-2be8925ae7e2

Data as of Oct 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:12 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HICKS, BRENT, STEVEN

Member

yes

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS, CHRISTOPHER, KEIL

Trustee

yes

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS, CHRISTOPHER, KEIL

Member

yes

07/2008

Nov 8, 2011

Oct 8, 2012

SAKODA, TODD, KIYOSHI

CHIEF COMPLIANCE OFFICER

yes

07/2008

Nov 8, 2011

Oct 8, 2012

DAWSON, JR., ALBERT, MARVIN

Trustee

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS FAMILY 2008 TRUST (CHRIS AND LISA HICKS TTEES)

Member

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS-DAWSON FAMILY 2008 TRUST (ERIN HICKS-DAWSON AND AL DAWSON TTEES)

Member

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS-DAWSON, ERIN, KLAUDINE

Member

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS-DAWSON, ERIN, KLAUDINE

Trustee

07/2008

Nov 8, 2011

Oct 8, 2012

HICKS, LISA, DIANE

Trustee

07/2008

Nov 8, 2011

Oct 8, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FOCUS POINT SOLUTIONS, INC

n/a

Former SEC adviser

$6.8B

yes

n/a

CS PLANNING CORP

n/a

Independent wealth

$2.0B

yes

n/a

THE H GROUP, INC.

n/a

Former SEC adviser

$580M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Portland

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Apr 2, 2012

$66.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$66.2M

n/a