DFX Intelligence

S••••••• F•••••••• G•••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S••••••• F•••••••• G•••• I••

CRD 107834

COLORADO SPRINGS, CO

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Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Sep 17, 2026
40 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=6.0
Regulatory AUM: $745M••• Locked
Discretionary RAUM: $745M
Private client RAUM: $720Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $124Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••• J••••• C•••••••••	Certified Financial Planner	COLORADO SPRINGS, CO	27	36	n/a	yes
C••••••••• R••••• D••••••	Certified Financial Planner	COLORADO SPRINGS, CO	27	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• L•••• J•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER/SHAREHOLDER	E	yes	12/1998	Mar 12, 2012	Jun 18, 2024
C••••••••• R••••••• L••••	VICE PRESIDENT	Na	no	12/2002	Mar 12, 2012	Jun 18, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CORONA DEL MAR	CA	United States	3	no
Scottsdale	Az	United States	2	no
Tustin	CA	United States	2	no

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	$745M	$665M	12.0%	$529M	12.1%	10	10	3	3

Relationships

Registered with (6)

← N••••••• D••••••Advisorregistration: current employment
Nov 4, 2022 to presentfactForm ADV
← P•••••• T••••• H••••Advisorregistration: current employment
Jul 13, 2022 to presentfactForm ADV
← A•••• M•••••• M•••••••••Advisorregistration: current employment
May 18, 2011 to presentfactForm ADV
← M•••••• J•••• H••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 12, 2012
Last observed: Sep 17, 2026 6 days 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	Feb 29, 2016	$298M	$252M	6	5	n/a	n/a	n/a
2014	Feb 18, 2015	$288M	$249M	6	5	n/a	n/a	n/a
2013	Jan 30, 2014	$278M	$242M	9	6	n/a	n/a	n/a
2012	Feb 14, 2013	$231M	$196M	10	6	n/a	n/a	n/a
2011	Mar 12, 2012	$186M	$163M	n/a	n/a	n/a	n/a	n/a