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

S••••• I••••••••• M••••••••• L••

Former SEC-registered adviserTucson, ArizonaCRD 106538SEC 801-31791IAPD
Latest filing Mar 16, 2021
First filing on the tape Mar 30, 2012 · 57 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$1.3B as of Mar 16, 2021
Mar 30, 2012$180M then
HNW client RAUM$963M as of Mar 16, 2021
Feb 21, 2018$477M then
State-registered IARs (5.B.3)8 as of Mar 16, 2021
Mar 27, 20130 then
Employees (5.A)13 as of Mar 16, 2021
Mar 27, 20138 then
Private funds: no history
RAUM +15% over the last fiscal year+25% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
RAUM per advisor
$169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
167derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$532,046derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$1.6B, 922 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$963M71%
  • Individuals$387M29%
Individual clients
917reported
HNW clients
422reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,536reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.6B for 922 clientsreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• S•••• S••••• · Chief Compliance Officercontrol
        since 06/2015 · owns less than 5%
      • A•••• M••••••• H• · Membercontrol
        since 01/2017 · owns 10% to 25%
      • G•••••• L••••••• G••••• · Membercontrol
        since 01/2017 · owns 10% to 25%
      • R•••••• D••••••• R• · Membercontrol
        since 08/1986 · owns 10% to 25%
      • T••••••• H•••• B•••••• · Membercontrol
        since 08/1986 · owns 10% to 25%
      • W•••••• T••••••• D•••• · Membercontrol
        since 01/2007 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Phoenix, AZ4 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1,283 to 2,536
        Oct 20, 2020 to Mar 16, 2021
      • Advisory employees · 6 to 8
        Oct 20, 2020 to Mar 16, 2021
      • HNW clients · 386 to 422
        Oct 20, 2020 to Mar 16, 2021
      • Individual clients · 897 to 917
        Oct 20, 2020 to Mar 16, 2021
      • Assets in custody · $582M to $1.6B
        Oct 20, 2020 to Mar 16, 2021
      • Employees · 12 to 13
        Oct 20, 2020 to Mar 16, 2021
      • State-registered IARs · 7 to 8
        Oct 20, 2020 to Mar 16, 2021
      • Discretionary RAUM · $1.2B to $1.3B
        Oct 20, 2020 to Mar 16, 2021
      • HNW RAUM · $805M to $963M
        Oct 20, 2020 to Mar 16, 2021
      • Individual RAUM · $370M to $387M
        Oct 20, 2020 to Mar 16, 2021
      • Non-discretionary RAUM · $17.2M to $10.9M
        Oct 20, 2020 to Mar 16, 2021
      • RAUM · $1.2B to $1.3B
        Oct 20, 2020 to Mar 16, 2021
      • Advisory employees · 7 to 6
        May 11, 2020 to Jun 22, 2020
      • Employees · 13 to 12
        May 11, 2020 to Jun 22, 2020
      • Accounts · 2,053 to 1,283
        Dec 13, 2019 to Feb 12, 2020
      • HNW clients · 236 to 386
        Dec 13, 2019 to Feb 12, 2020
      • Individual clients · 746 to 897
        Dec 13, 2019 to Feb 12, 2020
      • Assets in custody · $4.7M to $582M
        Dec 13, 2019 to Feb 12, 2020
      • Employees · 12 to 13
        Dec 13, 2019 to Feb 12, 2020
      • Discretionary RAUM · $773M to $1.2B
        Dec 13, 2019 to Feb 12, 2020
      • HNW RAUM · $488M to $805M
        Dec 13, 2019 to Feb 12, 2020
      • Individual RAUM · $294M to $370M
        Dec 13, 2019 to Feb 12, 2020
      • Non-discretionary RAUM · $9.9M to $17.2M
        Dec 13, 2019 to Feb 12, 2020
      • Pension RAUM · unset to 0.0
        Dec 13, 2019 to Feb 12, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Dec 13, 2019 to Feb 12, 2020
      • RAUM · $783M to $1.2B
        Dec 13, 2019 to Feb 12, 2020
      • Accounts · 1,715 to 2,053
        Oct 10, 2018 to Mar 15, 2019
      • HNW clients · 220 to 236
        Oct 10, 2018 to Mar 15, 2019
      • Individual clients · 481 to 746
        Oct 10, 2018 to Mar 15, 2019
      • Assets in custody · $693M to $4.7M
        Oct 10, 2018 to Mar 15, 2019
      • Employees · 10 to 12
        Oct 10, 2018 to Mar 15, 2019
      • Discretionary RAUM · $670M to $773M
        Oct 10, 2018 to Mar 15, 2019
      • HNW RAUM · $477M to $488M
        Oct 10, 2018 to Mar 15, 2019
      • Individual RAUM · $216M to $294M
        Oct 10, 2018 to Mar 15, 2019
      • Non-discretionary RAUM · $23.3M to $9.9M
        Oct 10, 2018 to Mar 15, 2019
      • RAUM · $693M to $783M
        Oct 10, 2018 to Mar 15, 2019
      • Assets in custody · unset to 692970904.0
        Feb 21, 2018 to Feb 22, 2018
      • Custody of client assets · false to true
        Feb 21, 2018 to Feb 22, 2018
      • State-registered IARs · 1 to 7
        Aug 28, 2017 to Feb 21, 2018
      • Accounts · 1,535 to 1,715
        Aug 28, 2017 to Feb 21, 2018
      Signals
      1 dated events
      • S••••• I••••••••• M••••••••• L•• reported RAUM $1.2B, up 50% from $782.5M (2019-12-13 to 2020-02-12)
        Feb 12, 2020 · RAUM change · derived
      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