DFX Intelligence

C••••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C••••• W••••• A•••••••• L••

CRD 281160

PEORIA, AZ

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Data as of Apr 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 4
On other graphs: 0
Observed: Mar 7, 2016 to Apr 7, 2026
39 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=10.0
Regulatory AUM: $305M••• Locked
Discretionary RAUM: $305M
Private client RAUM: $305Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $25.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••• A•••• C•••••	n/a	PEORIA, AZ	10	29	3	yes
J••••• A•••• C•••••	n/a	PEORIA, AZ	10	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• 2••• T•••• D•••• M•• 8• 2•••	Member	E	yes	07/2020	Aug 10, 2020	Dec 4, 2024
C•••••• B•••• A••••	Trustee	F	yes	05/2020	Mar 7, 2016	Dec 4, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CASTLE ROCK	Co	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1

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	$305M	$257M	18.8%	$200M	15.1%	13	16	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•• A•••••••• L•	8	Aug 30, 2017	Aug 15, 2017	PEORIA, AZ	Team lift out	Other	30.8%

Relationships

Registered with (17)

← A•• C••••••• J••••Advisorregistration: current employment
Jan 29, 2026 to presentfactForm ADV
← J••• E••••• F••••••Advisorregistration: current employment
Mar 25, 2025 to presentfactForm ADV
← K•••••••• A•• F•••••Advisorregistration: current employment
Mar 9, 2021 to presentfactForm ADV
← T•••••• A•• F••••••

Dated events

Order

Occurred
1 Aug 2024
Control person left
••• Locked
Form ADV
Occurred
27 Sep 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Feb 2020
Control person left
••• Locked
Form ADV
Occurred
7 Mar 2016
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2016
Last observed: Apr 7, 2026 5 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 12 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• E••••• F••••••	n/a	PEORIA, AZ	1	15	n/a	yes
A•• C••••••• J••••	n/a	PEORIA, AZ	0	13	n/a	yes