DFX Intelligence

F• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

F• I••••••••• M••••••••• L••

CRD 294021

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Search this name across graphsid dfx:ria:d163e994-14c2-fae2-d5b1-a65ae71a179c

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 8
On other graphs: 0
Observed: May 4, 2018 to Mar 31, 2023
12 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: $528M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• R••••••• G•••••	MEMBER & CEO	Na	yes	02/2018	May 4, 2018	Mar 31, 2023
D••••••• J••• P••••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2018	May 4, 2018	Mar 31, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• L••	n/a	Former SEC adviser	$843M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$528M	$849M	-37.8%	$682M	-8.2%	4	3	0	0

Relationships

Affiliated with (1)

→ F••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (6)

← D••••••• R••••••• G•••••OwnerMEMBER & CEO, ownership code NA, individual
May 4, 2018 to presentfactForm ADV
← K•••••• M•••• B••••••OwnerMEMBER, ownership code NA, individual
May 4, 2018 to presentfactForm ADV
← N••• T•••••• F••••••OwnerMEMBER, ownership code NA, individual

Dated events

Occurred
May 19, 2023
Advisor changed firm
Jon Patrick Desmidt left F• I••••••••• M••••••••• L•• for Gallagher Fiduciary Advisors, Llc (registered 2023-07-11)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
F• I••••••••• M••••••••• L•• reported RAUM $528.4M, down 38% from $849.4M (2022-11-25 to 2023-03-31)
Form ADVobserved 7 days ago
$-321M
Occurred
Mar 31, 2020
Regulatory AUM changed
F• I••••••••• M••••••••• L•• reported RAUM $682.2M, up 193% from $233.0M (2019-11-06 to 2020-03-31)
Form ADVobserved 7 days ago
$449M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d163e994-14c2-fae2-d5b1-a65ae71a179c
First observed: May 4, 2018
Last observed: Mar 31, 2023 42 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.