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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

THE INNES ASSOCIATES, LTD.

CRD 117326

TEMPE, AZ

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:2b6ffb79-daaa-831c-e619-096e8f6ceefe

Data as of Apr 24, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Apr 24, 2024 to Apr 24, 2024
1 observations

Across DFX

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

Allocatorsidentity

The Innes Associates, Ltd.

Investment consultant · shared crd

Facts

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $12.0MItem 5.F on the latest filing (2024-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.0M
Private client RAUM: $2.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 21%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 60
Individual clients: 15
CRD: 117326
Filings on the tape: 1
First filed: Apr 24, 2024
Latest filed: Apr 24, 2024
Organised: Corporation, AZ

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
LAWRENCE FRANKLIN INNES	n/a	TEMPE, AZ	12	40	3	no

Relationships

Registered with (1)

← LAWRENCE FRANKLIN INNESAdvisorregistration: previous registration
Oct 28, 2013 to Dec 31, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b6ffb79-daaa-831c-e619-096e8f6ceefe
First observed: Apr 24, 2024
Last observed: Apr 24, 2024 29 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.

THE INNES ASSOCIATES, LTD.

CRD 117326

TEMPE, AZ

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:2b6ffb79-daaa-831c-e619-096e8f6ceefe

Data as of Apr 24, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LAWRENCE FRANKLIN INNES

n/a

TEMPE, AZ