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
T•••••• F••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 26, 2012 · 29 filings
SEC status approved since Jul 27, 2001
RAUM
$248M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
73%
$181M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$41.4M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$248M as of Mar 17, 2026
Mar 26, 2012$111M then
HNW client RAUM$144M as of Mar 17, 2026
Mar 19, 2018$28.6M then
State-registered IARs (5.B.3)5 as of Mar 17, 2026
Mar 26, 20120 then
Employees (5.A)6 as of Mar 17, 2026
Mar 14, 20133 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $41.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $432,616derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M58%
- Individuals$37.5M15%
- Corporations and businesses$35.1M14%
- Pension and profit-sharing plans$26.2M11%
- Other investment advisers$5.6M2.3%
- Charitable organizations$30,5880.0%
- Individual clients
- 160reported
- HNW clients
- 59reported
- Pension plan clients
- 14reported
- Charitable clients
- 1reported
- Accounts
- 574reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.02 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D••• S••••• | Mesa, Az | Jan 25, 2012 | 18 y | 2 |
| C••••••••• P••• R••••••••• | Meza, Az | Jan 25, 2012 | 27 y | 2 |
| C••••••••• M••••• R•••Certified Financial Planner | Mesa, Az | Jan 25, 2012 | 34 y | 3 |
| R••• J• R••••••••Certified Financial Planner | Mesa, Az | Nov 29, 2012 | 24 y | 6 |
| J•••• A••••• S••••••Personal Financial Specialist | Mesa, Az | Mar 15, 2022 | 26 y | 1 |
| C••••• G•••• H•••••• | Mesa, Az | Feb 29, 2024 | 24 y | 1 |
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
Left, latest
- J•••• D••••• to W••••• R••••••• I••••••••• A••••••• L••Nov 20, 2019 · RIA to a state-registered adviser
- J•••• D••••• to T•••••• A•••••••• L••May 17, 2010 · Other
- S•••• J•••••• J•••••• to T•••••• A•••••••• L••Nov 17, 2009 · Other
- R••• J• R•••••••• to T•••••• A•••••••• L••Nov 17, 2009 · Other
- J••• C••••••••• E••• to T•••••• A•••••••• L••Nov 9, 2009 · Other
- C••••••••• M••••• R••• to T•••••• A•••••••• L••Nov 4, 2009 · Other
- K•••• D••• S••••• to T•••••• A•••••••• L••Nov 4, 2009 · Other
- C••••••••• P••• R••••••••• to T•••••• A•••••••• L••Nov 4, 2009 · Other
Joined, latest
- C••••• G•••• H•••••• from Q•• F•••••••• L••Feb 29, 2024 · Other
- J•••• A••••• S•••••• from 1•• G••••• A••••••• I••Mar 15, 2022 · Other
- R••• J• R•••••••• from T•••••• A•••••••• L••Nov 29, 2012 · Other
- C••••••••• M••••• R••• from T•••••• A•••••••• L••Jan 25, 2012 · Other
- J•••• D••••• from T•••••• A•••••••• L••Jan 25, 2012 · Other
- K•••• D••• S••••• from T•••••• A•••••••• L••Jan 25, 2012 · Other
- C••••••••• P••• R••••••••• from T•••••• A•••••••• L••Jan 25, 2012 · Other
- C••••••••• M••••• R••• from E•••• S••••••••• L••Feb 2, 2009 · Other
- J••• C••••••••• E••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 19, 2008 · Other
- S•••• J•••••• J•••••• from M••••• S•••••• D• I•••Jul 30, 2008 · Other
- R••• J• R•••••••• from V••••••• A•••••••• I•••Oct 9, 2007 · Other
- J•••• D••••• from H•••••• T••••••• • K•••• L••Sep 10, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• R•••• J• · Chief Compliance Officercontrolsince 03/2022 · owns 75% or more
- R••••••••• R•••• J• · Managing Membercontrolsince 04/2007 · owns 75% or more of R•••••••• F•••••••• S•••••••• L••
Entity owners
- R•••••••• F•••••••• S•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••••••• P••••••••• A••••••••• L••real estaten
- S••••• F•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mesa, Az · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Phoenix, AZ2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 531 to 574Mar 26, 2025 to Mar 17, 2026
- HNW clients · 49 to 59Mar 26, 2025 to Mar 17, 2026
- Individual clients · 162 to 160Mar 26, 2025 to Mar 17, 2026
- Pension plan clients · 13 to 14Mar 26, 2025 to Mar 17, 2026
- Financial planning clients · 251-500 to 101-250Mar 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $137M to $180MMar 26, 2025 to Mar 17, 2026
- HNW RAUM · $115M to $144MMar 26, 2025 to Mar 17, 2026
- Individual RAUM · $40.7M to $37.5MMar 26, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $65.8M to $68.1MMar 26, 2025 to Mar 17, 2026
- Pension RAUM · $20.4M to $26.2MMar 26, 2025 to Mar 17, 2026
- RAUM · $203M to $248MMar 26, 2025 to Mar 17, 2026
- Accounts · 523 to 531Apr 4, 2024 to Mar 26, 2025
- Corporate clients · 15 to 10Apr 4, 2024 to Mar 26, 2025
- HNW clients · 44 to 49Apr 4, 2024 to Mar 26, 2025
- Individual clients · 179 to 162Apr 4, 2024 to Mar 26, 2025
- Pension plan clients · 12 to 13Apr 4, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Apr 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $129M to $137MApr 4, 2024 to Mar 26, 2025
- HNW RAUM · $94.3M to $115MApr 4, 2024 to Mar 26, 2025
- Individual RAUM · $40.5M to $40.7MApr 4, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $59.1M to $65.8MApr 4, 2024 to Mar 26, 2025
- Pension RAUM · $27.2M to $20.4MApr 4, 2024 to Mar 26, 2025
- RAUM · $188M to $203MApr 4, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Mar 26, 2024 to Apr 4, 2024
- Employees · 5 to 6Mar 26, 2024 to Apr 4, 2024
- State-registered IARs · 4 to 5Mar 26, 2024 to Apr 4, 2024
- Accounts · 469 to 523Dec 7, 2023 to Mar 14, 2024
- Corporate clients · 12 to 15Dec 7, 2023 to Mar 14, 2024
- HNW clients · 42 to 44Dec 7, 2023 to Mar 14, 2024
- Individual clients · 151 to 179Dec 7, 2023 to Mar 14, 2024
- Pension plan clients · 3 to 12Dec 7, 2023 to Mar 14, 2024
- Financial planning clients · 101-250 to 251-500Dec 7, 2023 to Mar 14, 2024
- Discretionary RAUM · $89.1M to $129MDec 7, 2023 to Mar 14, 2024
- HNW RAUM · $86.4M to $94.3MDec 7, 2023 to Mar 14, 2024
- Individual RAUM · $29.6M to $40.5MDec 7, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $55.8M to $59.1MDec 7, 2023 to Mar 14, 2024
- Pension RAUM · $5.7M to $27.2MDec 7, 2023 to Mar 14, 2024
- RAUM · $145M to $188MDec 7, 2023 to Mar 14, 2024
- Advisory activities · 3 to 4Apr 10, 2023 to Dec 7, 2023
- Related insurance company · true to falseApr 3, 2023 to Apr 10, 2023
Signals
3 dated events
- J Ryan Ricedorff (Chief Compliance Officer) appeared on Schedule A of T•••••• F••••••••• L••May 9, 2022 · Control person joined · fact
- Nathan Karl Huish (Managing Member/Chief Compliance Officer) no longer on Schedule A of T•••••• F••••••••• L•• (listed 2022-03-29, absent 2022-05-09)May 9, 2022 · Control person left · inference
- Richard Craig Campbell (Member) no longer on Schedule A of T•••••• F••••••••• L•• (listed 2021-03-22, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
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
- Business phone
- 480-553-6247reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-553-6247reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- tribecafinancial.co/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- tribecafinancial.co/our-team-1reportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026