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.

Former SEC-registered adviser

Your Source Financial

Former SEC-registered adviserPhoenix, ArizonaCRD 109409SEC 801-62784IAPD
Legal name Your Source Financial, Plc.
Latest filing Mar 31, 2023
First filing on the tape Nov 29, 2011 · 22 filings
RAUM
$236M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
95%
$225M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$236M as of Mar 31, 2023
Feb 27, 2012$169M then
HNW client RAUM$205M as of Mar 31, 2023
Mar 28, 2018$172M then
State-registered IARs (5.B.3)5 as of Mar 31, 2023
Feb 27, 20120 then
Employees (5.A)5 as of Mar 31, 2023
Feb 26, 201310 then
Private funds1 as of Mar 31, 2020
Feb 27, 20121 then
RAUM -16% over the last fiscal year-5.4% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$47.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.3MderivedHNW RAUM over HNW clients
Average account
$433,367derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-64%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$155M, 254 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$205M87%
  • Individuals$19.5M8.3%
  • Pension and profit-sharing plans$6.1M2.6%
  • Corporations and businesses$5.0M2.1%
Individual clients
62reported
HNW clients
28reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
544reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$155M for 254 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Your Source Pacific Fund I, Lllpno longer reportedPrivate Equity Fund$1.2M50Nov 29, 2011
    Owners and control persons
    Schedule A and B, latest filing
    • Richard George Collett · Member/Chief Compliance Officercontrol
      since 04/2000 · owns 25% to 50%
    • William Jeffry Baum · Member
      since 10/2009 · owns 50% to 75% of Mount Whitney Investments, L.L.C.
    Entity owners
    • Mount Whitney Investments, L.L.C. · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 6 to 5
      Feb 11, 2022 to Mar 31, 2023
    • Corporate clients · 7 to 1
      Feb 11, 2022 to Mar 31, 2023
    • HNW clients · 91 to 28
      Feb 11, 2022 to Mar 31, 2023
    • Individual clients · 161 to 62
      Feb 11, 2022 to Mar 31, 2023
    • Pension plan clients · 4 to 2
      Feb 11, 2022 to Mar 31, 2023
    • Assets in custody · $6.5M to $155M
      Feb 11, 2022 to Mar 31, 2023
    • Employees · 7 to 5
      Feb 11, 2022 to Mar 31, 2023
    • State-registered IARs · 6 to 5
      Feb 11, 2022 to Mar 31, 2023
    • Discretionary RAUM · $262M to $217M
      Feb 11, 2022 to Mar 31, 2023
    • HNW RAUM · $233M to $205M
      Feb 11, 2022 to Mar 31, 2023
    • Individual RAUM · $20.1M to $19.5M
      Feb 11, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $19.4M to $19.1M
      Feb 11, 2022 to Mar 31, 2023
    • Pension RAUM · $21.6M to $6.1M
      Feb 11, 2022 to Mar 31, 2023
    • RAUM · $281M to $236M
      Feb 11, 2022 to Mar 31, 2023
    • Accounts · 525 to 544
      Dec 8, 2021 to Feb 11, 2022
    • Corporate clients · 6 to 7
      Dec 8, 2021 to Feb 11, 2022
    • HNW clients · 108 to 91
      Dec 8, 2021 to Feb 11, 2022
    • Individual clients · 138 to 161
      Dec 8, 2021 to Feb 11, 2022
    • Pension plan clients · 5 to 4
      Dec 8, 2021 to Feb 11, 2022
    • Discretionary RAUM · $262M to $262M
      Dec 8, 2021 to Feb 11, 2022
    • HNW RAUM · $245M to $233M
      Dec 8, 2021 to Feb 11, 2022
    • Individual RAUM · $16.9M to $20.1M
      Dec 8, 2021 to Feb 11, 2022
    • Non-discretionary RAUM · $24.2M to $19.4M
      Dec 8, 2021 to Feb 11, 2022
    • Pension RAUM · $22.1M to $21.6M
      Dec 8, 2021 to Feb 11, 2022
    • RAUM · $286M to $281M
      Dec 8, 2021 to Feb 11, 2022
    • Assets in custody · unset to 6500000.0
      Jun 24, 2021 to Dec 8, 2021
    • Custody of client assets · false to true
      Jun 24, 2021 to Dec 8, 2021
    • Accounts · 563 to 525
      Jun 26, 2020 to Mar 25, 2021
    • Corporate clients · 7 to 6
      Jun 26, 2020 to Mar 25, 2021
    • HNW clients · 98 to 108
      Jun 26, 2020 to Mar 25, 2021
    • Individual clients · 164 to 138
      Jun 26, 2020 to Mar 25, 2021
    • Assets in custody · 925517.0 to unset
      Jun 26, 2020 to Mar 25, 2021
    • Custody of client assets · true to false
      Jun 26, 2020 to Mar 25, 2021
    • Private funds · 1 to unset
      Jun 26, 2020 to Mar 25, 2021
    • Discretionary RAUM · $260M to $262M
      Jun 26, 2020 to Mar 25, 2021
    • HNW RAUM · $236M to $245M
      Jun 26, 2020 to Mar 25, 2021
    • Individual RAUM · $22.5M to $16.9M
      Jun 26, 2020 to Mar 25, 2021
    • Non-discretionary RAUM · $19.0M to $24.2M
      Jun 26, 2020 to Mar 25, 2021
    • Pension RAUM · $20.3M to $22.1M
      Jun 26, 2020 to Mar 25, 2021
    • RAUM · $279M to $286M
      Jun 26, 2020 to Mar 25, 2021
    Signals
    6 dated events
    • Roger Nusbaum left Your Source Financial for Dynamic (registered 2023-03-24)
      Apr 14, 2023 · Advisor changed firm · fact
    • Jay Rabins left Your Source Financial for Dynamic (registered 2023-03-09)
      Apr 14, 2023 · Advisor changed firm · fact
    • Rodney Alan Smith left Your Source Financial for Dynamic (registered 2023-11-17)
      Apr 14, 2023 · Advisor changed firm · fact
    • Your Source Financial's advisors moved to Dynamic (Phoenix, AZ): 3 of 3 registered, on the same day
      Apr 14, 2023 · Firm absorbed (people side) · derived
    • Marc Edward Brock left Your Source Financial for Thrivent Advisor Network, Llc (registered 2023-04-11)
      Apr 6, 2023 · Advisor changed firm · fact
    • John Raymond Dimuro (Member) no longer on Schedule A of Your Source Financial (listed 2022-02-11, absent 2023-03-31)
      Mar 31, 2023 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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