DFX Intelligence

H••••••••• G•••• F•••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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.

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

H••••••••• G•••• F•••••••• A•••••••• L••

CRD 149564

S••••SDALE, AZ

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:d1b8fd73-f7b0-0939-3a64-1175bb09f2b9

Data as of Aug 20, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2012 to Aug 20, 2013
10 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: $365M••• Locked
Discretionary RAUM: $169M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 53
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• G•••• F•••••••• A•••••••• L••	President	E	yes	06/1996	Mar 29, 2012	Aug 20, 2013
H••••••••• D••••• D••••	Owner	E	yes	02/2009	Jan 5, 2012	Aug 20, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• J••••••	n/a	n/a	n/a	Y	yes	n/a
J••• P•••••••	n/a	n/a	n/a	Y	yes	n/a
K•••• D••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
S••••SDALE	Az	United States	n/a	no
Brea	CA	United States	n/a	no
Palmdale	CA	United States	n/a	no
Raleigh	Nc	United States	n/a	no
Albequerque	Nm	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$365M	$218M	67.3%	n/a	n/a	53	n/a	n/a	n/a

Relationships

Controls (4)

← H••••••••• G•••• F•••••••• A•••••••• L••OwnerPRESIDENT, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← H••••••••• S•••• A••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← H••••••••• D••••• D••••OwnerOWNER, ownership code E, individual
Jan 5, 2012 to presentfactForm ADV
← H••••••••• L••OwnerPARENT COMPANY, ownership code E, domestic entity
Jan 5, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1b8fd73-f7b0-0939-3a64-1175bb09f2b9
First observed: Jan 5, 2012
Last observed: Aug 20, 2013 159 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.