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

E••••••• C•••••• M••••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 110266SEC 801-55355IAPD
Latest filing Jun 22, 2015
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$61.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$31.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$33.5M gross assets
History
13 filings and snapshots on the tape
RAUM$61.9M as of Mar 13, 2015
Mar 26, 2012$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 13, 2015
Mar 26, 20120 then
Employees (5.A)5 as of Mar 13, 2015
Mar 27, 20135 then
Private funds1 as of Mar 13, 2015
Mar 26, 20124 then
RAUM -55% over the last fiscal year-24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 22, 2015; every figure names its basis
RAUM per advisor
$31.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$578,780derivedRAUM 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
-55%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Custody
$33.5M, 1 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$33.5M for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••••••• A•• D•••••••Chartered Financial ConsultantScottsdale, AzApr 13, 200637 y1
M•••••• M••• D•••••••Scottsdale, AzApr 15, 200944 y0
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
Every departureEvery arrival
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
G•••••• C•••••• P••••••• L••no longer reportedReal Estate Fund$33.7M93Mar 26, 2012
T••••••• P•••••••• L••Other Private Fund$33.5M81Mar 26, 2012
E••••• I••••• P••••••• L•no longer reportedReal Estate Fund$25.4M90Mar 26, 2012
G•••••• C•••••• P•••••••• L•••• A• C••••• I•••••• E••••••• C••••••no longer reportedReal Estate Fund$14.2M11Mar 26, 2012
Owners and control persons
Schedule A and B, latest filing
  • D•••••••• M••••••• M••• · Presidentcontrol
    since 06/1982 · owns less than 5%
  • D•••••••• P•••••••• A•• · Vice-President, Chief Compliance Officercontrol
    since 04/2009 · owns less than 5%
  • D•••••••• M••••••• M••• · Trusteecontrol
    since 12/1998 · owns F of The D••••••• Family Trust (U/A/T D•••• 12/1998)
  • D•••••••• P•••••••• A•• · Trusteecontrol
    since 12/1998 · owns F of The D••••••• Family Trust (U/A/T D•••• 12/1998)
Entity owners
  • T•• D••••••• F••••• T•••• ••••• D•••• 1••••••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • R•••••• L••
    pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Scottsdale, Az · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · true to false
    Jun 11, 2015 to Jun 22, 2015
  • Related adviser · false to true
    Jun 5, 2015 to Jun 11, 2015
  • Accounts · 333 to 107
    Mar 20, 2014 to Mar 13, 2015
  • Assets in custody · $107M to $33.5M
    Mar 20, 2014 to Mar 13, 2015
  • Private funds · 4 to 1
    Mar 20, 2014 to Mar 13, 2015
  • Discretionary RAUM · $138M to $61.9M
    Mar 20, 2014 to Mar 13, 2015
  • RAUM · $138M to $61.9M
    Mar 20, 2014 to Mar 13, 2015
  • Assets in custody · $110M to $107M
    Mar 28, 2013 to Mar 20, 2014
  • Financial planning clients · 1-10 to 0
    Mar 28, 2013 to Mar 20, 2014
  • Discretionary RAUM · $139M to $138M
    Mar 28, 2013 to Mar 20, 2014
  • RAUM · $139M to $138M
    Mar 28, 2013 to Mar 20, 2014
  • Accounts · 322 to 333
    Mar 26, 2012 to Mar 27, 2013
  • Advisory employees · unset to 2.0
    Mar 26, 2012 to Mar 27, 2013
  • Assets in custody · $112M to $110M
    Mar 26, 2012 to Mar 27, 2013
  • Employees · unset to 5.0
    Mar 26, 2012 to Mar 27, 2013
  • State-registered IARs · 0 to 2
    Mar 26, 2012 to Mar 27, 2013
  • Discretionary RAUM · $139M to $139M
    Mar 26, 2012 to Mar 27, 2013
  • RAUM · $139M to $139M
    Mar 26, 2012 to Mar 27, 2013
Signals
No event on the tape.
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
$31.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

E••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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