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
A•• F••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Jan 22, 2020 · 17 filings
SEC status approved since Feb 21, 2020
RAUM
$199M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$199M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$199M as of Feb 20, 2026
Feb 22, 2021$120M then
HNW client RAUM$100M as of Feb 20, 2026
Feb 22, 2021$20.0M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Feb 22, 20214 then
Employees (5.A)4 as of Feb 20, 2026
Feb 22, 20214 then
Private funds: no history
RAUM +9.5% over the last fiscal year+11% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Feb 20, 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
- RAUM per advisor
- $99.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M50%
- Individuals$99.1M50%
- Individual clients
- 149reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 197reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• M•••••• H•••••••Certified Financial Planner | Tucson, Az | May 10, 2005 | 22 y | 0 |
| L••• F••••••• S•••••• | Tucson, Az | Jan 16, 2025 | 11 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
- K••••• L•••••• P•••• to F•••••••• A•••••••• I••••••••• M•••••••••Sep 21, 2022 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• W••••••• M•••••• · Owner Ccocontrolsince 05/2005 · 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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beverly Hills, CA1 employees
- Boulder, CO1 employees
- Issaquah, WA1 employees
- Lake Oswego, OR1 employees
- Las Vegas, NV1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- account count collapseChange between filings · filing Feb 20, 2026accounts (Item 5.F.2.f) moved from 703.0 to 197.0 (-72.0%) between the annual amendments of 2025-01-14 and 2026-02-20; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.8% percentile
- business activity changedChange between filings · filing Feb 20, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-01-14, yes on the filing of 2026-02-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 703 to 197Jan 14, 2025 to Feb 20, 2026
- Advisory employees · 3 to 2Jan 14, 2025 to Feb 20, 2026
- Advisory activities · 2 to 3Jan 14, 2025 to Feb 20, 2026
- HNW clients · 38 to 48Jan 14, 2025 to Feb 20, 2026
- Individual clients · 147 to 149Jan 14, 2025 to Feb 20, 2026
- Employees · 3 to 4Jan 14, 2025 to Feb 20, 2026
- State-registered IARs · 1 to 2Jan 14, 2025 to Feb 20, 2026
- HNW RAUM · $72.6M to $100MJan 14, 2025 to Feb 20, 2026
- Individual RAUM · $109M to $99.1MJan 14, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $182M to $199MJan 14, 2025 to Feb 20, 2026
- RAUM · $182M to $199MJan 14, 2025 to Feb 20, 2026
- Accounts · 683 to 703Mar 8, 2024 to Jan 14, 2025
- Advisory employees · 1 to 3Mar 8, 2024 to Jan 14, 2025
- HNW clients · 7 to 38Mar 8, 2024 to Jan 14, 2025
- Individual clients · 174 to 147Mar 8, 2024 to Jan 14, 2025
- Employees · 1 to 3Mar 8, 2024 to Jan 14, 2025
- Financial planning clients · 101-250 to 101-250Mar 8, 2024 to Jan 14, 2025
- HNW RAUM · $50.1M to $72.6MMar 8, 2024 to Jan 14, 2025
- Individual RAUM · $107M to $109MMar 8, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $157M to $182MMar 8, 2024 to Jan 14, 2025
- RAUM · $157M to $182MMar 8, 2024 to Jan 14, 2025
- Accounts · 694 to 683Dec 22, 2023 to Mar 8, 2024
- HNW clients · 41 to 7Dec 22, 2023 to Mar 8, 2024
- Individual clients · 145 to 174Dec 22, 2023 to Mar 8, 2024
- HNW RAUM · $91.8M to $50.1MDec 22, 2023 to Mar 8, 2024
- Individual RAUM · $53.0M to $107MDec 22, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $145M to $157MDec 22, 2023 to Mar 8, 2024
- RAUM · $145M to $157MDec 22, 2023 to Mar 8, 2024
- Accounts · 650 to 694Oct 3, 2022 to Mar 29, 2023
- Advisory employees · 3 to 1Oct 3, 2022 to Mar 29, 2023
- HNW clients · 24 to 41Oct 3, 2022 to Mar 29, 2023
- Individual clients · 131 to 145Oct 3, 2022 to Mar 29, 2023
- Employees · 3 to 1Oct 3, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 1Oct 3, 2022 to Mar 29, 2023
- HNW RAUM · $392,640 to $91.8MOct 3, 2022 to Mar 29, 2023
- Individual RAUM · $150M to $53.0MOct 3, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $151M to $145MOct 3, 2022 to Mar 29, 2023
- RAUM · $151M to $145MOct 3, 2022 to Mar 29, 2023
- Accounts · 625 to 650Sep 7, 2021 to Feb 28, 2022
- HNW RAUM · $38.5M to $392,640Sep 7, 2021 to Feb 28, 2022
Signals
4 dated events
- K••••• L•••••• P•••• left A•• F••••••••• L•• for F•••••••• A•••••••• I••••••••• M••••••••• (registered 2023-01-26)Sep 21, 2022 · Advisor changed firm · fact
- A•• F••••••••• L•• reported 5 offices beyond its principal office, down from 15 (2021-06-10 to 2021-09-07)Sep 7, 2021 · Office count change · derived
- A•• F••••••••• L•• reported 15 offices beyond its principal office, down from 20 (2021-04-06 to 2021-06-10)Jun 10, 2021 · Office count change · derived
- A•• F••••••••• L•• filed its initial SEC registration (Form ADV)Jan 22, 2020 · 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
- Firm profile
- linkedin.com/company/aio-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- aiofinanzas.com.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-325-0769reportedpublic record, Form ADV, Feb 20, 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
- $99.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026