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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D••••••• I••••••••• A•••••••• I•••

CRD 110552

GREAT FALLS, MT

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:e3b8ae65-6763-0f63-6684-22108e97b1f5

Data as of Dec 15, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 73
Dated events: 7
On other graphs: 0
Observed: Dec 22, 2011 to Dec 15, 2025
34 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: independent wealth managerderivedprivate_client_share=0.69 fund_share=0.04 institutional_share=0.2 related_bd=true related_bank=false bd_reps=11.0
Regulatory AUM: $5.2BItem 5.F on the latest filing (2025-12-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.2B
Private client RAUM: $3.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• I•• D•••••••	n/a	GREAT FALLS, MT	31	35	n/a	yes
B•••• P•••••• C•••••	Chartered Financial Analyst	SEATTLE, WA	21	21

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• E•••••• P••••••	Director	Na	yes	01/2013	Dec 15, 2025	Dec 15, 2025
D••• D••••••• C••••••••	PARENT COMPANY	E	yes	05/1986	Dec 15, 2025

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••• D••••••• • C••	n/a	Independent wealth	$42B	N	yes	Mt
D•• D••••••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Carlsbad	CA	United States	3	yes
Richmond	Va	United States	3	no
Seattle	Wa	United States	3	yes
Bozeman	Mt	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$5.2B	$4.0B	28.7%	$2.5B	27.8%	31	30	6	5

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A•••• M••••••••• L••	5	Mar 10, 2023	Mar 13, 2023	HENRICO, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (5)

← D••• D••••••• • C••Registered adviserother investment adviser, common control
factForm ADV
→ D••• D••••••• • C••Registered adviserother investment adviser, broker-dealer, custodian, common control
factForm ADV
← D••••••• FIXED INCOME MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
← SMITH HAYES ADVISERS INCRegistered adviserother investment adviser, common control

Dated events

Occurred
Oct 2, 2024
Advisor changed firm
Benjamin Tracy Bishop left D••••••• I••••••••• A•••••••• I••• for D••• D••••••• • C•• (registered 2024-10-02)
Form ADVobserved 7 days ago
Occurred
Dec 22, 2023
Control person left
Paul Steven Condon (Director) no longer on Schedule A of D••••••• I••••••••• A•••••••• I••• (listed 2023-03-30, absent 2023-12-22)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
D••••••• I••••••••• A•••••••• I••• reported RAUM $4.0B, up 67% from $2.4B (2022-12-22 to 2023-03-30)
Form ADVobserved 7 days ago
$1.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3b8ae65-6763-0f63-6684-22108e97b1f5
First observed: Dec 22, 2011
Last observed: Dec 15, 2025 9 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.

2024	Dec 20, 2024	$4.8B	$4.8B	31	12	4	n/a	n/a
2023	Dec 22, 2023	$4.0B	$4.0B	30	13	5	n/a	n/a
2022	Dec 22, 2022	$2.4B	$2.4B	24	11	6	n/a	n/a
2021	Dec 22, 2021	$2.5B	$2.5B	23	11	6	n/a	n/a
2020	Dec 21, 2020	$2.0B	$2.0B	23	11	6	n/a	n/a
2019	Dec 21, 2019	$2.0B	$2.0B	22	11	3	n/a	n/a
2018	Dec 26, 2018	$2.0B	$2.0B	21	11	3	n/a	n/a
2017	Dec 21, 2017	$1.8B	$1.8B	21	11	3	n/a	n/a
2016	Dec 22, 2016	$1.7B	$1.7B	20	12	n/a	n/a	n/a
2015	Dec 24, 2015	$1.8B	$1.8B	22	14	n/a	n/a	n/a
2014	Dec 23, 2014	$1.2B	$1.2B	16	9	n/a	n/a	n/a
2013	Dec 24, 2013	$1.1B	$1.1B	15	9	n/a	n/a	n/a
2012	Dec 21, 2012	$1.1B	$1.1B	13	7	n/a	n/a	n/a
2011	Dec 22, 2011	$1.0B	$1.0B	n/a	n/a	n/a	n/a	n/a