DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C••••••••• P••••••••• R••••••••• I••••••••

STATE REGISTEREDFormer SEC adviserwebsite

STATE REGISTERED, reporting $24.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $24.0M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 100% of RAUM, $24.0M

Advisors Advisor movement Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 114380 · 1 filingsShow

CRD 114380Legal name M••••• I•••First filing on the tape Mar 27, 2026, latest Mar 27, 2026IAPD

RAUM

$24.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$24.0M individuals and HNW

Advisors

n/a

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

0 filings and snapshots on the tape

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3): no history

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

RAUM per advisor: $24.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 197derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $0derivedHNW RAUM over HNW clients
Average account: $342,857derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $1.3M, 2 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$24.0M100%

Individual clients: 196reported
HNW clients: 1reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 70reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $1.3M for 2 clientsreported
Compensation: % of AUMreported
Class basis: on the IAPD state feed, not SEC-registeredderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• ••••••• C• M•••••	Phoenix, Az	Dec 28, 1994	32 y	0
B•••• G••••• R•••	Phoenix, Az	Dec 22, 2014	31 y	2

Advisor movement

Left, latest

none on the tape

Joined, latest

B•••• G••••• R••• from P••• A••••• S••••••••• L••
Dec 22, 2014 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

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	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 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: STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 15, 2026