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
R••• W••••• L••
Latest filing Jul 10, 2026
First filing on the tape Dec 15, 2011 · 49 filings
SEC status approved since May 10, 2000
RAUM
$869M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
49%
$422M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$869M as of Jul 10, 2026
Mar 27, 2012$347M then
HNW client RAUM$319M as of Jul 10, 2026
Jan 31, 2018$349M then
State-registered IARs (5.B.3)8 as of Jul 10, 2026
Mar 28, 201313 then
Employees (5.A)15 as of Jul 10, 2026
Mar 28, 201314 then
Private funds: no history
RAUM -1.3% over the last fiscal year-1.0% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $974,433derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$393M45%
- High-net-worth individuals$319M37%
- Individuals$103M12%
- Corporations and businesses$29.5M3.4%
- Charitable organizations$24.7M2.8%
- Individual clients
- 263reported
- HNW clients
- 107reported
- Pension plan clients
- 23reported
- Charitable clients
- 7reported
- Accounts
- 892reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.48 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• B•••••• S••••••Certified Financial Planner | Phoenix, Az | Mar 10, 2006 | 20 y | 0 |
| R•••• A• S••••••• | Albuquerque, Nm | Jun 30, 2021 | 11 y | 0 |
| J••• V•••••• G••••••Certified Financial Planner | Albuquerque, Nm | Sep 21, 2021 | 29 y | 3 |
| B•••• R••••• G•••• | Albuquerque, Nm | Feb 16, 2024 | 15 y | 2 |
| J•••• R••••• K••••••Certified Financial Planner | Phoenix, Az | Oct 1, 2024 | 26 y | 8 |
| S•••• A••••• B•••••••••Certified Financial Planner, Chartered Financial Consultant | Albuquerque, Nm | Oct 28, 2024 | 24 y | 5 |
| S••• A•••• S•• | Albuquerque, Nm | May 26, 2026 | 12 y | 0 |
| L•••• C•••• | Albuquerque, Nm | May 27, 2026 | 10 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 headcount6 left over 36 months
Left, latest
- P••• L••• M••••• to R••• S•••••• W••••• A•••••••• L••Sep 16, 2024 · Other
- D••••• A••••• Y• to C••••••• P•••••••Aug 27, 2024 · RIA to RIA
- R••• N•••••• to M••••• W••••• M•••••••••Aug 23, 2024 · RIA to RIA
- C•••••••• P••••••• to L•• F•••••••• L••Aug 22, 2024 · RIA to affiliated broker-dealer or bank
- B•••••••• M•••• S•••••• to C••••••• P•••••••• I•••Apr 2, 2024 · RIA to RIA
- R•••• E••••• H••••• to I••••••••• W••••• L••Oct 2, 2023 · Other
- J••••••• J•••• M••••• to E• W••••• A•••••••Jun 15, 2022 · RIA to RIA
- M•••••• N•••• to R••• S•••••• W••••• A•••••••• L••Apr 10, 2018 · Other
- C••••••• M•••••• H••••• to U•• F•••••••• S••••••• I•••Aug 19, 2016 · Other
- J••• V•••••• G•••••• to B•• F•••••••• A•••••••Aug 13, 2015 · Other
- L••• D••••• O•••• to M••••• S••••••Aug 20, 2013 · Other
Joined, latest
- S•••• A••••• B••••••••• from W••••• E••••••••• A••••••• S•••••••• L••Oct 28, 2024 · RIA to RIA
- J•••• R••••• K•••••• from A•••••• A••••••• S•••••••Oct 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••• R••••• G•••• from B••••• M•••• D••••••••Feb 16, 2024 · RIA to RIA
- C•••••••• P••••••• from S•••••• F•••••••• S••••••••May 3, 2022 · Other
- R•••• E••••• H••••• from P••••••••• W••••• M••••••••• L••Oct 27, 2021 · Other
- J••• V•••••• G•••••• from B•• F•••••••• A•••••••Sep 21, 2021 · Other
- R••• N•••••• from R••••••••• E••••••• ••Sep 14, 2016 · Other
- C••••••• M•••••• H••••• from B•• F•••••••• A•••••••Feb 26, 2015 · Other
- L••• D••••• O•••• from C•• W••••• A••••••• L••Nov 18, 2009 · Other
- J••• V•••••• G•••••• from C•••••• S••••• • C••• I•••Jan 13, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••••• R••••• · Managing Principalcontrolsince 10/1999 · owns 5% to 10%
- H••••••• D••••••• M•••••• · Principalcontrolsince 09/2024 · owns less than 5%
- K••••••• J••••• R••••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- P••••• K••••• N••• · Chief Operating Officercontrolsince 09/2024 · owns less than 5%
- B••••• J••••••• L••• · Principalsince 01/2022 · owns 5% to 10%
- C••••••• M••••••• D•••• · Principalsince 01/2019 · owns 5% to 10%
- F•••••• B•••• · Principalsince 01/2024 · owns 5% to 10%
- F••••••• J••••• S•••• · Principalsince 01/2022 · owns 5% to 10%
- F•••••• T••• L•• · Principalsince 11/2012 · owns 5% to 10%
- G••••••• A••••••• R•••••• · Principalsince 01/2021 · owns 5% to 10%
- K••••• A••• M•••••• · Principalsince 01/2018 · owns 5% to 10%
- L•••••• J••••••• O••• · Principalsince 01/2023 · owns 5% to 10%
- M••••••• J••••• F•••••••• · Principalsince 01/2008 · owns 5% to 10%
- O••••• J••••• A••••• · Principalsince 01/2023 · owns 5% to 10%
- T••••••• C••••••••• W•••• · Principalsince 01/2008 · owns 5% to 10%
- W••••••••• D•••• N••••• · Principalsince 01/2018 · owns 5% to 10%
Entity owners
- R••• L•• · Parent Companydirect · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albuquerque, Nm · principal | 8 | 2 | 0 | ||
| Phoenix, Az | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Phoenix, AZ3 employees
- Oklahoma City, OK1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 3 to 4May 1, 2026 to Jul 10, 2026
- Accounts · 1,019 to 892Oct 21, 2025 to Mar 24, 2026
- Charity clients · 9 to 7Oct 21, 2025 to Mar 24, 2026
- HNW clients · 128 to 107Oct 21, 2025 to Mar 24, 2026
- Pension plan clients · 26 to 23Oct 21, 2025 to Mar 24, 2026
- Assets in custody · $8.2M to $2.3MOct 21, 2025 to Mar 24, 2026
- Employees · 14 to 15Oct 21, 2025 to Mar 24, 2026
- Financial planning clients · 26-50 to 51-100Oct 21, 2025 to Mar 24, 2026
- State-registered IARs · 9 to 8Oct 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $832M to $821MOct 21, 2025 to Mar 24, 2026
- HNW RAUM · $352M to $319MOct 21, 2025 to Mar 24, 2026
- Individual RAUM · $84.0M to $103MOct 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $48.6M to $48.6MOct 21, 2025 to Mar 24, 2026
- Pension RAUM · $355M to $393MOct 21, 2025 to Mar 24, 2026
- RAUM · $881M to $869MOct 21, 2025 to Mar 24, 2026
- Other offices · 4 to 3Jun 17, 2025 to Oct 21, 2025
- Advisory employees · 10 to 9Mar 25, 2025 to Jun 17, 2025
- Employees · 15 to 14Mar 25, 2025 to Jun 17, 2025
- Financial planning clients · 26-50 to 26-50Mar 25, 2025 to Jun 17, 2025
- Accounts · 1,227 to 1,019Dec 20, 2024 to Mar 25, 2025
- Advisory employees · 9 to 10Dec 20, 2024 to Mar 25, 2025
- Charity clients · 8 to 9Dec 20, 2024 to Mar 25, 2025
- Corporate clients · 5 to 3Dec 20, 2024 to Mar 25, 2025
- HNW clients · 150 to 128Dec 20, 2024 to Mar 25, 2025
- Individual clients · 246 to 263Dec 20, 2024 to Mar 25, 2025
- Pension plan clients · 24 to 26Dec 20, 2024 to Mar 25, 2025
- Assets in custody · $18.4M to $8.2MDec 20, 2024 to Mar 25, 2025
- Employees · 14 to 15Dec 20, 2024 to Mar 25, 2025
- Other offices · 3 to 4Dec 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.0B to $832MDec 20, 2024 to Mar 25, 2025
- HNW RAUM · $507M to $352MDec 20, 2024 to Mar 25, 2025
- Individual RAUM · $81.2M to $84.0MDec 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $48.6MDec 20, 2024 to Mar 25, 2025
- Pension RAUM · $318M to $355MDec 20, 2024 to Mar 25, 2025
- RAUM · $1.0B to $881MDec 20, 2024 to Mar 25, 2025
- Other offices · 2 to 3Oct 25, 2024 to Dec 20, 2024
- Advisory employees · 14 to 9Jul 10, 2024 to Oct 2, 2024
- Employees · 17 to 14Jul 10, 2024 to Oct 2, 2024
- State-registered IARs · 14 to 9Jul 10, 2024 to Oct 2, 2024
- Accounts · 1,189 to 1,227Aug 15, 2023 to Mar 14, 2024
Signals
11 dated events
- Malcolm Douglas Hatcher (Principal) appeared on Schedule A of R••• W••••• L••Oct 25, 2024 · Control person joined · fact
- Luis Paul Madrid (Principal) no longer on Schedule A of R••• W••••• L•• (listed 2024-07-10, absent 2024-10-02)Oct 2, 2024 · Control person left · inference
- Neil Kerry Prine (Chief Operating Officer) appeared on Schedule A of R••• W••••• L••Oct 2, 2024 · Control person joined · fact
- Robert James Karberg (Chief Compliance Officer) appeared on Schedule A of R••• W••••• L••Oct 2, 2024 · Control person joined · fact
- P••• L••• M••••• left R••• W••••• L•• for R••• S•••••• W••••• A•••••••• L•• (registered 2015-10-22)Sep 16, 2024 · advisor f••• change · fact
- D••••• A••••• Y• left R••• W••••• L•• for C••••••• P••••••• (registered 2024-09-05)Aug 27, 2024 · advisor f••• change · fact
- R••• N•••••• left R••• W••••• L•• for M••••• W••••• M••••••••• (registered 2025-08-05)Aug 23, 2024 · advisor f••• change · fact
- C•••••••• P••••••• left R••• W••••• L•• for L•• F•••••••• L•• (registered 2024-09-27)Aug 22, 2024 · advisor f••• change · fact
- B•••••••• M•••• S•••••• left R••• W••••• L•• for C••••••• P•••••••• I••• (registered 2024-11-21)Apr 2, 2024 · advisor f••• change · fact
- R•••• E••••• H••••• left R••• W••••• L•• for I••••••••• W••••• L•• (registered 2024-06-26)Oct 2, 2023 · advisor f••• change · fact
- J••••••• J•••• M••••• left R••• W••••• L•• for E• W••••• A••••••• (registered 2022-08-22)Jun 15, 2022 · advisor f••• change · 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
- f••• profile url
- w••.l•••••••.com/COMPANY/R•••-WEALTH-LLCreportedpublic record, Form ADV, Sep 18, 2026
- f••• website
- R•••.COM/Wealth (AFFILIATE)reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 505-998-3200reportedpublic record, Form ADV, Jul 10, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026