DFX Intelligence

T•• W••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

T•• W••••• M•••••••••

T•• W••••• M••••••••• LLC, CRD 309514

SCOTTSDALE, AZ

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Search this name across graphs

Data as of Jun 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 16
On other graphs: 1
Observed: Jul 1, 2020 to Jun 11, 2024
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

T•• W••••• M•••••••••

Investment consultant · same CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $781M••• Locked
Discretionary RAUM: $776M
Private client RAUM: $717Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• A••••••••• X••• L•••	GENERAL PARTNER	F	yes	08/2023	Oct 13, 2023	Jun 11, 2024
C••• A••••••••• X••• L•••	GENERAL PARTNER	F	yes	08/2023	Oct 13, 2023	Jun 11, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• R••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a
T•• I•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 27, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$781M	$795M	-1.8%	$601M	9.1%	10	12	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• A•••• M••••••••• L••	5	Jul 1, 2024	Aug 1, 2024	SCOTTSDALE, AZ	Firm absorbed	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•• C•••••• P•••••• W•••••	6	Sep 30, 2020	Nov 3, 2020	SCOTTSDALE, AZ	Firm absorbed	RIA to new firm	75.0%

Relationships

Controls (13)

← D••••• T•••• M••••••••OwnerMANAGER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 1, 2020 to presentfactForm ADV
← L••••• G••••• D••••OwnerCHIEF O•••••••• OFFICER, ownership code NA, individual
Jul 1, 2020 to presentfactForm ADV
← C••• A••••••••• X••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Oct 13, 2023 to presentfactForm ADV
← C••• F•••••••• C••••••••• L•••OwnerPARTNER, ownership code C, foreign entity
Sep 14, 2023 to present

Dated events

Order

Occurred
1 Jul 2024
Advisor changed firm5 events
T•• W••••• M•••••••••: advisor changed firm, 5 counterparties, on 1 Jul 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
1 Jul 2024
Firm absorbed
••• Locked
Form ADV
5 advisors
Occurred
30 Apr 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
27 Mar 2024
Control person left
••• Locked
Form ADV
Occurred
28 Feb 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 1, 2020
Last observed: Jun 11, 2024 27 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 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• F•• U••••••• H•••••••• L•	Shareholder	E	yes	08/2023	Sep 14, 2023	Jun 11, 2024
F•••••••• F•• U••••••• H•••••••• L•	SHAREHOLDER, CLASS B COMMON STOCK	E	yes	08/2023	Sep 14, 2023	Jun 11, 2024
F•••• F•••••••• P••••••• I•••	Member	E	yes	07/2018	Jul 1, 2020	Jun 11, 2024
F•••• F•••••••• P•••••••• L••	Member	E	yes	01/2007	Jul 1, 2020	Jun 11, 2024
F•••• O••••••••• L••	Member	E	yes	06/2020	Jul 1, 2020	Jun 11, 2024
L••••• G••••• D••••	CHIEF O•••••••• OFFICER	Na	yes	06/2020	Jul 1, 2020	Jun 11, 2024