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
P••••••• I•••••••••
Legal name P•••••••• I•••••••••
Latest filing Jul 1, 2026
First filing on the tape Apr 23, 2012 · 11 filings
SEC status approved since May 2, 2022
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.3M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$157M as of Jul 1, 2026
Apr 23, 2012$57.0M then
HNW client RAUM$120M as of Jul 1, 2026
Oct 9, 2025$95.0M then
State-registered IARs (5.B.3)2 as of Jul 1, 2026
Apr 23, 20120 then
Employees (5.A)7 as of Jul 1, 2026
Feb 19, 20132 then
Private funds: no history
RAUM +3.7% over the last fiscal year+11% a year over threeIARs 1 to 2offices 1 to 2
Practice profile
derived from the filing of Jul 1, 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
- $78.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $295,917derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M77%
- Individuals$34.9M22%
- Corporations and businesses$1.1M0.7%
- Individual clients
- 93reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 529reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• M•••••• S••••Certified Financial Planner | Phoenix, Az | Aug 21, 2000 | 42 y | 2 |
| G•••• P•••••• B••••• | Alexandria, Va | Sep 30, 2025 | 14 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• M••••••• M•••••• · President And Chief Compliance Officercontrolsince 10/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Alexandria, VA1 employees
What changed
consecutive filings, newest first
- Accounts · 525 to 529Oct 9, 2025 to Mar 23, 2026
- BD registered reps · 0 to 1Oct 9, 2025 to Mar 23, 2026
- Charity clients · 30.0 to unsetOct 9, 2025 to Mar 23, 2026
- Corporate clients · 16 to 13Oct 9, 2025 to Mar 23, 2026
- HNW clients · 36 to 46Oct 9, 2025 to Mar 23, 2026
- Individual clients · 129 to 93Oct 9, 2025 to Mar 23, 2026
- Pension plan clients · 19.0 to unsetOct 9, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 101-250Oct 9, 2025 to Mar 23, 2026
- Discretionary RAUM · $148M to $157MOct 9, 2025 to Mar 23, 2026
- HNW RAUM · $95.0M to $120MOct 9, 2025 to Mar 23, 2026
- Individual RAUM · $44.4M to $34.9MOct 9, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3.0M to $0Oct 9, 2025 to Mar 23, 2026
- Pension RAUM · 1510000.0 to unsetOct 9, 2025 to Mar 23, 2026
- RAUM · $151M to $157MOct 9, 2025 to Mar 23, 2026
- Charity clients · unset to 30.0Aug 11, 2025 to Oct 9, 2025
- Corporate clients · unset to 16.0Aug 11, 2025 to Oct 9, 2025
- HNW clients · unset to 36.0Aug 11, 2025 to Oct 9, 2025
- Individual clients · 329 to 129Aug 11, 2025 to Oct 9, 2025
- Pension plan clients · unset to 19.0Aug 11, 2025 to Oct 9, 2025
- HNW RAUM · unset to 95000000.0Aug 11, 2025 to Oct 9, 2025
- Individual RAUM · $151M to $44.4MAug 11, 2025 to Oct 9, 2025
- Pension RAUM · unset to 1510000.0Aug 11, 2025 to Oct 9, 2025
- Advisory employees · 1 to 2Mar 17, 2025 to Aug 11, 2025
- Employees · 6 to 7Mar 17, 2025 to Aug 11, 2025
- State-registered IARs · 1 to 2Mar 17, 2025 to Aug 11, 2025
- Other offices · 1 to 2Mar 17, 2025 to Aug 11, 2025
- Accounts · 227 to 525Feb 7, 2024 to Mar 17, 2025
- Individual clients · 260 to 329Feb 7, 2024 to Mar 17, 2025
- Employees · 4 to 6Feb 7, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 51-100Feb 7, 2024 to Mar 17, 2025
- Discretionary RAUM · $121M to $148MFeb 7, 2024 to Mar 17, 2025
- Individual RAUM · $121M to $151MFeb 7, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $0 to $3.0MFeb 7, 2024 to Mar 17, 2025
- RAUM · $121M to $151MFeb 7, 2024 to Mar 17, 2025
- Accounts · 460 to 227Mar 9, 2023 to Feb 7, 2024
- Individual clients · 220 to 260Mar 9, 2023 to Feb 7, 2024
- Employees · 3 to 4Mar 9, 2023 to Feb 7, 2024
- Discretionary RAUM · $114M to $121MMar 9, 2023 to Feb 7, 2024
- Individual RAUM · $114M to $121MMar 9, 2023 to Feb 7, 2024
- RAUM · $114M to $121MMar 9, 2023 to Feb 7, 2024
Signals
1 dated events
- P••••••• I••••••••• filed its initial SEC registration (Form ADV)Mar 29, 2022 · First SEC registration · 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
- Business phone
- 202-800-0707reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-598-9960reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-893-1149reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-598-9960reportedpublic record, Form ADV, Jul 1, 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
- $78.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026