DFX Intelligence
Reading the graph
Reading the graph
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CRD 152515
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••• A•••• B•••• | Personal Financial Specialist | LITTLETON, CO | 16 | 27 | 1 | no |
| Q•••••• A••• K••••• | n/a | LITTLETON, CO | 14 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• S••••• A•••• | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | Na | yes | 12/2009 | May 28, 2021 | Oct 25, 2024 |
| B••••• G••••••• M•••••• | Ceo | Na | yes | 12/2020 | May 28, 2021 | Oct 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••• B••••••• I••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Waco | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.8B | $1.8B | 51.0% | $932M | 43.8% | 6 | 6 | 2 | 3 |
| no |
| G•••••• M•••••• B•••• | n/a | LITTLETON, CO | 4 | 17 | 4 | no |
| N•••••• M••••••• N••••• | n/a | LITTLETON, CO | 1 | 16 | 4 | no |
| C••••••••• S•••• H•••••• | n/a | LITTLETON, CO | 1 | 18 | 1 | no |
| T••• R••• M••••••• | n/a | WACO, TX | LITTLETON, CO | 0 | 13 | 1 | no |
| J••••• H•••••••• | n/a | LITTLETON, CO | Waco, TX | 0 | 10 | n/a | no |
| Member |
| C |
| yes |
| 09/2022 |
| Oct 31, 2022 |
| Oct 25, 2024 |
| J••• B••••••• S••••••• H•••••••• L•• | Member | E | yes | 09/2022 | Oct 31, 2022 | Oct 25, 2024 |
| P••••••• J••• B••••••• S••••••• H•••••••• L•• | Member | D | yes | 09/2022 | Oct 31, 2022 | Oct 25, 2024 |
| $2.8B |
| $2.7B |
| 6 |
| 6 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 14, 2025 | $1.8B | $1.8B | 6 | 3 | 3 | n/a | n/a |
| 2023 | Mar 1, 2024 | $1.4B | $1.3B | 6 | 3 | 3 | n/a | n/a |
| 2022 | Feb 6, 2023 | $932M | $886M | 4 | 3 | 2 | n/a | n/a |
| 2021 | Mar 2, 2022 | $301M | $271M | 3 | 3 | 2 | n/a | n/a |