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
S•••••••• W••••• A•••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Jan 27, 2012 · 26 filings
SEC status approved since Mar 26, 2004
RAUM
$325M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$319M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$81.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$325M as of Feb 18, 2026
Jan 27, 2012$136M then
HNW client RAUM$298M as of Feb 18, 2026
Jan 26, 2018$41.1M then
State-registered IARs (5.B.3)4 as of Feb 18, 2026
Jan 27, 20120 then
Employees (5.A)4 as of Feb 18, 2026
Jan 16, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $81.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $761,490derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M92%
- Individuals$21.3M6.6%
- Charitable organizations$3.1M0.9%
- Pension and profit-sharing plans$2.8M0.9%
- Individual clients
- 36reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 427reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• B••• B•••••Chartered Financial Analyst | Scottsdale, Az | Jan 15, 1999 | 31 y | 0 |
| J••• A••• B•••••Certified Financial Planner | S••••Sdale, Az | Jan 1, 2002 | 25 y | 0 |
| J•••• D••• S•••••••Certified Financial Planner | S••••Sdale, Az | May 7, 2007 | 25 y | 1 |
| M•••••• S•••• M••••Certified Financial Planner | Scottsdale, Az | Aug 20, 2021 | 13 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
none on the tape
Joined, latest
- M•••••• S•••• M•••• from V••••••• A•••••••• I•••Aug 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• D••• S••••••• from D••••• V••••• F•••••••• P•••••••• L••May 7, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• A••• · Executive Officer And Trusteecontrolsince 08/2001 · owns less than 5%
- B•••••• L•••••• B••• · LLC Manager And Trusteecontrolsince 12/1998 · owns less than 5%
Entity owners
- T•• J••• A•• L••••• B••••• F••••• T•••• · LLC Member (Owner)direct · 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 |
|---|---|---|---|---|---|
| Scottsdale, Az | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 419 to 427Feb 21, 2025 to Feb 18, 2026
- HNW clients · 91 to 75Feb 21, 2025 to Feb 18, 2026
- Individual clients · 38 to 36Feb 21, 2025 to Feb 18, 2026
- Discretionary RAUM · $287M to $320MFeb 21, 2025 to Feb 18, 2026
- HNW RAUM · $263M to $298MFeb 21, 2025 to Feb 18, 2026
- Individual RAUM · $23.9M to $21.3MFeb 21, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $4.5M to $5.0MFeb 21, 2025 to Feb 18, 2026
- Pension RAUM · $2.3M to $2.8MFeb 21, 2025 to Feb 18, 2026
- RAUM · $292M to $325MFeb 21, 2025 to Feb 18, 2026
- Accounts · 416 to 419Aug 29, 2024 to Feb 21, 2025
- HNW clients · 69 to 91Aug 29, 2024 to Feb 21, 2025
- Individual clients · 39 to 38Aug 29, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 51-100Aug 29, 2024 to Feb 21, 2025
- HQ city · unset to Aug 29, 2024 to Feb 21, 2025
- HQ state · unset to Aug 29, 2024 to Feb 21, 2025
- Discretionary RAUM · $278M to $287MAug 29, 2024 to Feb 21, 2025
- HNW RAUM · $255M to $263MAug 29, 2024 to Feb 21, 2025
- Individual RAUM · $23.1M to $23.9MAug 29, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $4.2M to $4.5MAug 29, 2024 to Feb 21, 2025
- Pension RAUM · $2.2M to $2.3MAug 29, 2024 to Feb 21, 2025
- RAUM · $282M to $292MAug 29, 2024 to Feb 21, 2025
- Accounts · 443 to 416Mar 7, 2024 to Aug 29, 2024
- HNW clients · 65 to 69Mar 7, 2024 to Aug 29, 2024
- Individual clients · 41 to 39Mar 7, 2024 to Aug 29, 2024
- Discretionary RAUM · $267M to $278MMar 7, 2024 to Aug 29, 2024
- HNW RAUM · $262M to $255MMar 7, 2024 to Aug 29, 2024
- Individual RAUM · $23.0M to $23.1MMar 7, 2024 to Aug 29, 2024
- Non-discretionary RAUM · $21.6M to $4.2MMar 7, 2024 to Aug 29, 2024
- Pension RAUM · $1.9M to $2.2MMar 7, 2024 to Aug 29, 2024
- RAUM · $289M to $282MMar 7, 2024 to Aug 29, 2024
- Accounts · 409 to 443Dec 20, 2023 to Mar 7, 2024
- HNW clients · 61 to 65Dec 20, 2023 to Mar 7, 2024
- Individual clients · 40 to 41Dec 20, 2023 to Mar 7, 2024
- Discretionary RAUM · $189M to $267MDec 20, 2023 to Mar 7, 2024
- HNW RAUM · $187M to $262MDec 20, 2023 to Mar 7, 2024
- Individual RAUM · $20.5M to $23.0MDec 20, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $21.1M to $21.6MDec 20, 2023 to Mar 7, 2024
- Pension RAUM · $1.7M to $1.9MDec 20, 2023 to Mar 7, 2024
- RAUM · $211M to $289MDec 20, 2023 to Mar 7, 2024
- Accounts · 394 to 409Nov 2, 2022 to Mar 1, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- info@xpertadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-998-1798reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2241317reportedpublic record, Form ADV, Sep 19, 2026
- Website
- XPERTADVICE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-998-1798reportedpublic record, Form ADV, Feb 18, 2026
- Contact form
- xpertadvice.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- xpertadvice.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $81.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026