DFX Intelligence

M••••••• I••••••••• P••••••• N•••• A••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

M••••••• I••••••••• P••••••• N•••• A••••••• I•••

CRD 107420

WESTMONT, IL

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Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 21
On other graphs: 0
Observed: Mar 22, 2012 to Jan 27, 2026
26 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $119M••• Locked
Discretionary RAUM: $119M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $119Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••••• D•••••• J••••	n/a	HEBER CITY, UT	0	17	5	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• N•••• A•••••• H••••••• I•••	HOLDING COMPANY	E	yes	10/2018	Oct 4, 2018	Oct 7, 2024
J••••• B•••••••• D••••••	MANAGING DIRECTOR, SECRETARY	Na	yes	06/2024	Jun 25, 2024	Oct 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• A•••• M••••••••• L••••••	n/a	Other adviser	$22B	N	yes	n/a
F••••••• P•••••••• I•••	n/a	Former SEC adviser	$0	N	yes	n/a

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
0	0	0	0.0%	0	0	0	0	0

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	$119M	$440M	-72.9%	$1.7B	-58.6%	4	3	0	0

Relationships

Affiliated with (5)

← M••••••• I••••••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••• P•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ M••••••• I••••••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
← F••••••• P•••••••• I•••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
27 Jan 2026
Ria majority owner change2 events
M••••••• I••••••••• P••••••• N•••• A••••••• I•••: ria majority owner change, 2 events, on 27 Jan 2026
- ••• Locked
- ••• Locked
Occurred
27 Jan 2026
Ria principal change2 events
M••••••• I••••••••• P••••••• N•••• A••••••• I•••: ria principal change, 2 events, on 27 Jan 2026
- ••• Locked
- ••• Locked
Occurred
5 Dec 2025
Succession filed (Item 4)
••• Locked
Form ADV
Occurred
26 Sep 2025
Regulatory AUM changed
••• Locked
Form ADV
down $320M
Occurred
27 Sep 2024
Control person left2 events
M••••••• I••••••••• P••••••• N•••• A••••••• I•••: control person left, 2 events, on 27 Sep 2024
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 22, 2012
Last observed: Jan 27, 2026 8 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 3, 2016	$1.5B	$1.5B	10	5	n/a	n/a	n/a
2014	Mar 11, 2015	$1.3B	$1.3B	10	5	n/a	n/a	n/a
2013	Mar 19, 2014	$875M	$875M	10	5	n/a	n/a	n/a
2012	Mar 25, 2013	$371M	$371M	10	5	n/a	n/a	n/a
2011	Mar 22, 2012	$226M	$226M	n/a	n/a	n/a	n/a	n/a