DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A••••• T••••• P•••••• W•••••

A••••• T••••• P•••••• W•••••, LLC, CRD 153902

S••••SDALE, AZ

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Search this name across graphsid dfx:ria:f3ccc6b9-786a-0402-37c6-16f1f7286250

Data as of Aug 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 167
Dated events: 40
On other graphs: 0
Observed: Feb 9, 2012 to Aug 24, 2026
90 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=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=26.0
Regulatory AUM: $6.0B••• Locked
Discretionary RAUM: $6.0B
Private client RAUM: $5.9Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 98
RAUM per advisor: $61.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••• B••••	n/a	S••••SDALE, AZ	16	21	2	no
J••• C•••• M•••••••••	n/a	S••••SDALE, AZ \| DRAPER, UT	15	30

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• T••••• M••••••••• L••	Member	E	yes	03/2010	Aug 24, 2026	Aug 24, 2026
B••••• A••••• P•••	Ceo	Na	yes	03/2010	Aug 24, 2026	Aug 24, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• T••••• S••••••••• L••	n/a	Independent wealth	$1.9B	Y	yes	n/a
A•••••• F••••••••• L••	n/a	Independent wealth	$231M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Midland	TX	United States	5	no
Tucson	Az	United States	4	yes
Casper	Wy	United States	4	no
COLORADO SPRINGS	Co	United States	3	yes
Denver	Co	United States

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
16	5	11	5.1%	0	0	0	55	13

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	$6.0B	$4.1B	48.3%	$2.0B	44.2%	93	114	25	23

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••••• M••• A•••• M••••••••• L••	2	Aug 19, 2025	Sep 16, 2025	S••••SDALE, AZ	Team lift out	RIA to RIA	2.6%
S••••• 5• F••••••••	2	Jun 30, 2022	Jun 29, 2022

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D•• H•••• A•••• M•••••••••	5	Dec 5, 2025	Oct 3, 2025	SARASOTA, FL	Firm absorbed	Other	100.0%
S•• W•••••	2	Jun 10, 2025	May 25, 2025

Relationships

showing 80 of 167

Affiliated with (6)

→ A••••• T••••• S••••••••• L••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
→ A•••••• F••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ A••••• T••••• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← A•••••• F••••••••• L••

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 24, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 24, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 24, 2026
Ria office opened
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3ccc6b9-786a-0402-37c6-16f1f7286250
First observed: Feb 9, 2012
Last observed: Aug 24, 2026 30 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.