DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BAYNTREE WEALTH ADVISORS, LLC

CRD 226708

SCOTTSDALE, 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:d08ae0e2-a5cc-8f11-bce0-e5010eafbb27

Data as of Apr 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Jun 25, 2021 to Apr 20, 2026
14 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=0.0
Regulatory AUM: $241MItem 5.F on the latest filing (2026-04-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $230M
Private client RAUM: $241MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $40.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 6
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,208
Individual clients: 406
High net worth clients: 104
Custody, client assets: $1.7M
SEC number: 801-121867
CRD: 226708
Filings on the tape: 14
First filed: Jun 25, 2021
Latest filed: Apr 20, 2026
Organised: Limited Liability Company, 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
ANDREW SCOTT RAFAL	n/a	SCOTTSDALE, AZ	11	15	2	no
BRIAN DAVID HARTSTEIN	Chartered Financial Consultant	SCOTTSDALE, AZ	10	32	2	no
JONATHAN MICHAEL GENGLE	n/a	SCOTTSDALE, AZ	7	13	2	no
Andrue Jorgensen	n/a	SCOTTSDALE, AZ	3	10	1	no
Ezra Max Alpert	n/a	SCOTTSDALE, AZ	0	11	n/a	no
Jonathan William Brant	Certified Financial Planner	SCOTTSDALE, AZ	0	10	3	no

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
AJW, LLC	Owner	E	yes	10/2015	Jun 25, 2021	Nov 13, 2024
RAFAL, ANDREW, SCOTT	Owner	E	yes	10/2015	Jun 25, 2021	Nov 13, 2024
RAFAL, ANDREW, SCOTT	PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	yes	07/2015	Jun 25, 2021	Nov 13, 2024

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
BAYNTREE PLANNING GROUP, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Also broker-dealer
Avondale	Az	United States	no
ORO VALLEY	Az	United States	no
Peoria	Az	United States	no
Tucson	Az	United States	no

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; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 20, 2026	$241M	$230M	13	6	4	n/a	n/a
2024	Mar 31, 2025	$192M	$182M	11	4	4	n/a	n/a
2023	Mar 29, 2024	$181M	$174M	11	5	4	n/a	n/a
2022	Mar 31, 2023	$171M	$167M	11	5	4	n/a	n/a
2021	Mar 31, 2022	$170M	$167M	10	5	4	n/a	n/a

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
1	0	1	0.0%	0	0	0	2	2

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
2025	$241M	$192M	25.8%	$171M	12.1%	13	11	4	4

Relationships

Registered with (11)

← Jonathan William BrantAdvisorregistration: current employment
Dec 9, 2025 to presentfactForm ADV
← Ezra Max AlpertAdvisorregistration: current employment
Oct 24, 2025 to presentfactForm ADV
← Andrue JorgensenAdvisorregistration: current employment
Jan 4, 2023 to presentfactForm ADV
← JONATHAN MICHAEL GENGLEAdvisorregistration: current employment
Apr 3, 2019 to presentfactForm ADV
← BRIAN DAVID HARTSTEINAdvisorregistration: current employment
Jul 5, 2016 to presentfactForm ADV
← ANDREW SCOTT RAFALAdvisorregistration: current employment
Jul 29, 2015 to presentfactForm ADV
← Brandon Paul Sudo CepedaAdvisorregistration: previous registration
Feb 26, 2024 to Oct 1, 2024factForm ADV
← CRISTINA PEREZAdvisorregistration: previous registration
May 18, 2022 to Feb 26, 2024factForm ADV
← Christopher RogerAdvisorregistration: previous registration
Feb 24, 2017 to Aug 23, 2022factForm ADV
← MICHAEL JONATHAN FLOYDAdvisorregistration: previous registration
Apr 4, 2018 to Apr 4, 2022factForm ADV
← STEVEN Yick Tung CHAUAdvisorregistration: previous registration
May 2, 2016 to Nov 17, 2016factForm ADV

Controls (2)

← RAFAL, ANDREW, SCOTTOwnerOWNER, ownership code E, individual
Jun 25, 2021 to Nov 13, 2024factForm ADV
← AJW, LLCOwnerOWNER, ownership code E, domestic entity
Jun 25, 2021 to Nov 13, 2024factForm ADV

Dated events

Occurred
Oct 1, 2024
Advisor changed firm
Brandon Paul Sudo Cepeda left Bayntree Wealth Advisors, Llc for Charles Schwab & Co., Inc. (registered 2025-01-21)
Form ADVobserved 4 days ago
Occurred
Feb 26, 2024
Advisor changed firm
Cristina Perez left Bayntree Wealth Advisors, Llc for Nectarine (registered 2024-04-19)
Form ADVobserved 4 days ago
Occurred
Aug 23, 2022
Advisor changed firm
Christopher Roger left Bayntree Wealth Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-09-28)
Form ADVobserved 4 days ago
Occurred
Apr 4, 2022
Advisor changed firm
Michael Jonathan Floyd left Bayntree Wealth Advisors, Llc for Intelligent 401K, Llc (registered 2020-11-12)
Form ADVobserved 4 days ago
Occurred
Jun 25, 2021
First Form ADV filing
Bayntree Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d08ae0e2-a5cc-8f11-bce0-e5010eafbb27
First observed: Jun 25, 2021
Last observed: Apr 20, 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.

BAYNTREE WEALTH ADVISORS, LLC

CRD 226708

SCOTTSDALE, 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:d08ae0e2-a5cc-8f11-bce0-e5010eafbb27

Data as of Apr 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDREW SCOTT RAFAL

n/a

SCOTTSDALE, AZ

BRIAN DAVID HARTSTEIN

Chartered Financial Consultant

SCOTTSDALE, AZ

JONATHAN MICHAEL GENGLE

n/a

SCOTTSDALE, AZ

Andrue Jorgensen

n/a

SCOTTSDALE, AZ

Ezra Max Alpert

n/a

SCOTTSDALE, AZ

n/a

Jonathan William Brant

Certified Financial Planner

SCOTTSDALE, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AJW, LLC

Owner

yes

10/2015

Jun 25, 2021

Nov 13, 2024

RAFAL, ANDREW, SCOTT

Owner

yes

10/2015

Jun 25, 2021

Nov 13, 2024

RAFAL, ANDREW, SCOTT

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

07/2015

Jun 25, 2021

Nov 13, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BAYNTREE PLANNING GROUP, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Avondale

United States

ORO VALLEY

United States

Peoria

United States

Tucson

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 20, 2026

$241M

$230M

n/a

2024

Mar 31, 2025

$192M

$182M

n/a

2023

Mar 29, 2024

$181M

$174M

n/a

2022

Mar 31, 2023

$171M

$167M

n/a

2021

Mar 31, 2022

$170M

$167M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$241M

$192M

25.8%

$171M

12.1%