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CRD 118439
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••• D•••••• S••••• | Member | C | yes | 06/2007 | Mar 20, 2012 | Oct 21, 2022 |
| F••••••• M•••• A••••• | MANAGING MEMBER | C | yes | 12/2001 | Mar 20, 2012 | Oct 21, 2022 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Durango | Co | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $1.4B | $1.2B | 15.6% | $851M | 19.1% | 12 | 9 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| D•••••• | 3 | Feb 23, 2023 | Feb 27, 2023 | SCOTTSDALE, AZ | Firm absorbed | RIA to RIA | 100.0% |
| R•••••••• S•••••• E• C•• | 2 | Feb 21, 2023 | Sep 15, 2009 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| D•••••• | 3 | Dec 31, 2020 | Dec 9, 2020 | CHANDLER, AZ | Team lift out | RIA to RIA | 4.3% |
| Member |
| C |
| yes |
| 01/2005 |
| Mar 20, 2012 |
| Oct 21, 2022 |
| S••••• J•••• L••••• | MEMBER/CHIEF COMPLIANCE OFFICER | B | yes | 01/2016 | Mar 27, 2017 | Oct 21, 2022 |
| $1.4B |
| $1.4B |
| 12 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2020 | Feb 16, 2021 | $1.2B | $1.2B | 9 | 8 | 0 | n/a | n/a |
| 2019 | Mar 25, 2020 | $1.1B | $1.1B | 6 | 6 | 0 | n/a | n/a |
| 2018 | Feb 28, 2019 | $851M | $851M | 6 | 6 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $841M | $841M | 6 | 6 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $721M | $721M | 6 | 6 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $648M | $648M | 6 | 6 | n/a | n/a | n/a |
| 2014 | Mar 2, 2015 | $519M | $519M | 6 | 6 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $448M | $448M | 6 | 6 | n/a | n/a | n/a |
| 2012 | Mar 21, 2013 | $344M | $344M | 6 | 6 | n/a | n/a | n/a |
| 2011 | Mar 20, 2012 | $245M | $245M | n/a | n/a | n/a | n/a | n/a |
| SCOTTSDALE, AZ |
| Team lift out |
| Other |
| 20.0% |
| P••••••• A•••••••• L•• | 4 | Feb 21, 2023 | Mar 29, 2023 | SCOTTSDALE, AZ | Team lift out | RIA to RIA | 40.0% |