DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
J•••••• F•••••••• A•••••••
Legal name P••••• O• J•••••• • C••••••• L•••
Latest filing Mar 19, 2026
First filing on the tape Mar 19, 2012 · 14 filings
SEC status approved since Jun 15, 2018
RAUM
$301M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$301M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$301M as of Mar 19, 2026
Mar 19, 2012$45.4M then
HNW client RAUM$220M as of Mar 19, 2026
Mar 25, 2019$63.9M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 19, 20120 then
Employees (5.A)5 as of Mar 19, 2026
Mar 25, 20193 then
Private funds: no history
RAUM +24% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $398,099derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $81.2M, 94 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M73%
- Individuals$81.0M27%
- Individual clients
- 220reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 756reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.2M for 94 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• O••• J••••••Certified Financial Planner | Tempe, Az | Dec 20, 2005 | 44 y | 0 |
| M••••• F• J••••••Certified Financial Planner | Tempe, Az | Mar 1, 2012 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• P•••••• O••• · President/Treasurercontrolsince 10/1981 · owns 75% or more
- J••••••• L•••• T••••• · Vice-President/Secretarysince 10/1981 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tempe, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 19, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-13, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 19, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-13, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Mar 19, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-13, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-13, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 678 to 756Mar 13, 2025 to Mar 19, 2026
- Advisory activities · 4 to 2Mar 13, 2025 to Mar 19, 2026
- HNW clients · 61 to 77Mar 13, 2025 to Mar 19, 2026
- Individual clients · 211 to 220Mar 13, 2025 to Mar 19, 2026
- Assets in custody · unset to 81216469.0Mar 13, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMar 13, 2025 to Mar 19, 2026
- Employees · 6 to 5Mar 13, 2025 to Mar 19, 2026
- Discretionary RAUM · $243M to $301MMar 13, 2025 to Mar 19, 2026
- HNW RAUM · $167M to $220MMar 13, 2025 to Mar 19, 2026
- Individual RAUM · $75.1M to $81.0MMar 13, 2025 to Mar 19, 2026
- RAUM · $243M to $301MMar 13, 2025 to Mar 19, 2026
- Wrap assets (manager) · 591781.0 to unsetMar 13, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 13, 2025 to Mar 19, 2026
- Accounts · 682 to 678Feb 29, 2024 to Mar 13, 2025
- HNW clients · 53 to 61Feb 29, 2024 to Mar 13, 2025
- Individual clients · 218 to 211Feb 29, 2024 to Mar 13, 2025
- Commission compensation · true to falseFeb 29, 2024 to Mar 13, 2025
- Employees · 3 to 6Feb 29, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $186M to $243MFeb 29, 2024 to Mar 13, 2025
- HNW RAUM · $128M to $167MFeb 29, 2024 to Mar 13, 2025
- Individual RAUM · $62.6M to $75.1MFeb 29, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $5.0M to $0Feb 29, 2024 to Mar 13, 2025
- RAUM · $191M to $243MFeb 29, 2024 to Mar 13, 2025
- Wrap assets (manager) · $187M to $591,781Feb 29, 2024 to Mar 13, 2025
- Accounts · 663 to 682Feb 24, 2023 to Feb 29, 2024
- HNW clients · 45 to 53Feb 24, 2023 to Feb 29, 2024
- Individual clients · 233 to 218Feb 24, 2023 to Feb 29, 2024
- Discretionary RAUM · $165M to $186MFeb 24, 2023 to Feb 29, 2024
- HNW RAUM · $110M to $128MFeb 24, 2023 to Feb 29, 2024
- Individual RAUM · $59.3M to $62.6MFeb 24, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $4.2M to $5.0MFeb 24, 2023 to Feb 29, 2024
- RAUM · $170M to $191MFeb 24, 2023 to Feb 29, 2024
- Wrap assets (manager) · $162M to $187MFeb 24, 2023 to Feb 29, 2024
- Accounts · 667 to 663Mar 28, 2022 to Feb 24, 2023
- HNW clients · 58 to 45Mar 28, 2022 to Feb 24, 2023
- Individual clients · 188 to 233Mar 28, 2022 to Feb 24, 2023
- Discretionary RAUM · $195M to $165MMar 28, 2022 to Feb 24, 2023
- HNW RAUM · $149M to $110MMar 28, 2022 to Feb 24, 2023
- Individual RAUM · $52.3M to $59.3MMar 28, 2022 to Feb 24, 2023
Signals
1 dated events
- J•••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)May 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@johnsonfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 602-242-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/J••••••FINANCIALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- J••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 602-242-4000reportedpublic record, Form ADV, Mar 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026