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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Former SEC-registered adviser

R••••• K••••••••• F•••••••• A•••••••• L•••

Former SEC-registered adviserTucson, ArizonaCRD 105047SEC 801-25980IAPD
Latest filing Oct 19, 2023
First filing on the tape Mar 31, 2012 · 21 filings
RAUM
$83.0M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
100%
$83.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$83.0M as of Mar 30, 2023
Apr 1, 2013$138M then
HNW client RAUM$63.1M as of Mar 30, 2023
Mar 29, 2018$25.6M then
State-registered IARs (5.B.3)3 as of Mar 30, 2023
Apr 1, 20130 then
Employees (5.A)6 as of Mar 30, 2023
Apr 1, 201312 then
Private funds: no history
RAUM -20% over the last fiscal year-24% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Oct 19, 2023; every figure names its basis
RAUM per advisor
$41.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$953,809derivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$63.1M76%
  • Individuals$19.9M24%
Individual clients
50reported
HNW clients
37reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
87reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• S•••••• G••••• · Chief Compliance Officer / Chief Operating Officercontrol
      since 06/2011 · owns less than 5%
    • R•••••• P•••••••• F• · Presidentcontrol
      since 02/1992 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Tucson, Az · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 2
      Jun 26, 2023 to Oct 5, 2023
    • Advisory activities · 4 to 3
      Jun 26, 2023 to Oct 5, 2023
    • Employees · 6 to 4
      Jun 26, 2023 to Oct 5, 2023
    • State-registered IARs · 3 to 2
      Jun 26, 2023 to Oct 5, 2023
    • Accounts · 93 to 87
      Mar 30, 2022 to Mar 30, 2023
    • HNW clients · 40 to 37
      Mar 30, 2022 to Mar 30, 2023
    • Individual clients · 53 to 50
      Mar 30, 2022 to Mar 30, 2023
    • Discretionary RAUM · $40.7M to $45.7M
      Mar 30, 2022 to Mar 30, 2023
    • HNW RAUM · $80.5M to $63.1M
      Mar 30, 2022 to Mar 30, 2023
    • Individual RAUM · $23.8M to $19.9M
      Mar 30, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $63.7M to $37.3M
      Mar 30, 2022 to Mar 30, 2023
    • Pooled vehicle RAUM · 0.0 to unset
      Mar 30, 2022 to Mar 30, 2023
    • RAUM · $104M to $83.0M
      Mar 30, 2022 to Mar 30, 2023
    • Accounts · 120 to 93
      Mar 31, 2021 to Mar 30, 2022
    • HNW clients · unset to 40.0
      Mar 31, 2021 to Mar 30, 2022
    • Individual clients · 117 to 53
      Mar 31, 2021 to Mar 30, 2022
    • Financial planning clients · 101-250 to 51-100
      Mar 31, 2021 to Mar 30, 2022
    • Discretionary RAUM · $67.3M to $40.7M
      Mar 31, 2021 to Mar 30, 2022
    • HNW RAUM · $23.0M to $80.5M
      Mar 31, 2021 to Mar 30, 2022
    • Individual RAUM · $142M to $23.8M
      Mar 31, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $97.5M to $63.7M
      Mar 31, 2021 to Mar 30, 2022
    • RAUM · $165M to $104M
      Mar 31, 2021 to Mar 30, 2022
    • Accounts · 92 to 120
      Jun 12, 2020 to Mar 31, 2021
    • Individual clients · 92 to 117
      Jun 12, 2020 to Mar 31, 2021
    • Employees · 3 to 6
      Jun 12, 2020 to Mar 31, 2021
    • Discretionary RAUM · $108M to $67.3M
      Jun 12, 2020 to Mar 31, 2021
    • HNW RAUM · $16.7M to $23.0M
      Jun 12, 2020 to Mar 31, 2021
    • Individual RAUM · $170M to $142M
      Jun 12, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $83.7M to $97.5M
      Jun 12, 2020 to Mar 31, 2021
    • Pension RAUM · 4913766.0 to unset
      Jun 12, 2020 to Mar 31, 2021
    • RAUM · $192M to $165M
      Jun 12, 2020 to Mar 31, 2021
    • Advisory employees · 5 to 3
      Mar 29, 2019 to May 14, 2020
    • Individual clients · 88 to 92
      Mar 29, 2019 to May 14, 2020
    • Employees · 5 to 3
      Mar 29, 2019 to May 14, 2020
    • Financial planning clients · 11-25 to 101-250
      Mar 29, 2019 to May 14, 2020
    • State-registered IARs · 4 to 3
      Mar 29, 2019 to May 14, 2020
    • Discretionary RAUM · $53.8M to $108M
      Mar 29, 2019 to May 14, 2020
    • HNW RAUM · $18.0M to $16.7M
      Mar 29, 2019 to May 14, 2020
    • Individual RAUM · $128M to $170M
      Mar 29, 2019 to May 14, 2020
    • Non-discretionary RAUM · $94.6M to $83.7M
      Mar 29, 2019 to May 14, 2020
    Signals
    1 dated events
    • J••• E••••• J•••••• left R••••• K••••••••• F•••••••• A•••••••• L••• for B••• W••••• A•••••••• I••• (registered 2025-03-05)
      Apr 24, 2025 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026