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.

Former SEC-registered adviser

Integrated Wealth Management, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 114923SEC 801-60524IAPD
Latest filing Mar 25, 2021
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$274M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$274M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$274M as of Mar 25, 2021
Mar 29, 2012$147M then
HNW client RAUM$195M as of Mar 25, 2021
Jan 17, 2018$130M then
State-registered IARs (5.B.3)3 as of Mar 25, 2021
Apr 1, 20131 then
Employees (5.A)9 as of Mar 25, 2021
Apr 1, 20138 then
Private funds: no history
RAUM +4.4% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$91.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$312,557derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$241MreportedItem 5.I
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)
  • 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$195M71%
  • Individuals$79.6M29%
Individual clients
222reported
HNW clients
110reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
878reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Anthony Craig Harting · Chief Compliance Officer, Chief Operating Officercontrol
      since 07/2013 · owns less than 5%
    • Stanley Brent Pine · Presidentcontrol
      since 08/2001 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 846 to 878
      Jun 30, 2020 to Mar 25, 2021
    • Advisory activities · 2 to 3
      Jun 30, 2020 to Mar 25, 2021
    • HNW clients · 111 to 110
      Jun 30, 2020 to Mar 25, 2021
    • Individual clients · 260 to 222
      Jun 30, 2020 to Mar 25, 2021
    • Employees · 10 to 9
      Jun 30, 2020 to Mar 25, 2021
    • Insurance-licensed employees · 3 to 1
      Jun 30, 2020 to Mar 25, 2021
    • Financial planning clients · unset to 251-500
      Jun 30, 2020 to Mar 25, 2021
    • Discretionary RAUM · $263M to $274M
      Jun 30, 2020 to Mar 25, 2021
    • HNW RAUM · $192M to $195M
      Jun 30, 2020 to Mar 25, 2021
    • Individual RAUM · $71.4M to $79.6M
      Jun 30, 2020 to Mar 25, 2021
    • RAUM · $263M to $274M
      Jun 30, 2020 to Mar 25, 2021
    • Advisory employees · 5 to 3
      Mar 27, 2020 to Jun 30, 2020
    • Employees · 12 to 10
      Mar 27, 2020 to Jun 30, 2020
    • Accounts · 870 to 846
      Mar 20, 2019 to Mar 27, 2020
    • HNW clients · 90 to 111
      Mar 20, 2019 to Mar 27, 2020
    • Individual clients · 250 to 260
      Mar 20, 2019 to Mar 27, 2020
    • Discretionary RAUM · $217M to $263M
      Mar 20, 2019 to Mar 27, 2020
    • HNW RAUM · $138M to $192M
      Mar 20, 2019 to Mar 27, 2020
    • Individual RAUM · $79.7M to $71.4M
      Mar 20, 2019 to Mar 27, 2020
    • RAUM · $217M to $263M
      Mar 20, 2019 to Mar 27, 2020
    • Accounts · 743 to 870
      May 23, 2018 to Mar 20, 2019
    • Advisory employees · 3 to 5
      May 23, 2018 to Mar 20, 2019
    • HNW clients · 87 to 90
      May 23, 2018 to Mar 20, 2019
    • Individual clients · 263 to 250
      May 23, 2018 to Mar 20, 2019
    • Employees · 10 to 12
      May 23, 2018 to Mar 20, 2019
    • Insurance-licensed employees · 1 to 3
      May 23, 2018 to Mar 20, 2019
    • Discretionary RAUM · $201M to $217M
      May 23, 2018 to Mar 20, 2019
    • HNW RAUM · $130M to $138M
      May 23, 2018 to Mar 20, 2019
    • Individual RAUM · $71.2M to $79.7M
      May 23, 2018 to Mar 20, 2019
    • RAUM · $201M to $217M
      May 23, 2018 to Mar 20, 2019
    • Accounts · 788 to 743
      Jun 22, 2017 to Jan 17, 2018
    • Advisory activities · 3 to 2
      Jun 22, 2017 to Jan 17, 2018
    • HNW clients · unset to 87.0
      Jun 22, 2017 to Jan 17, 2018
    • Individual clients · unset to 263.0
      Jun 22, 2017 to Jan 17, 2018
    • Employees · 9 to 10
      Jun 22, 2017 to Jan 17, 2018
    • Financial planning clients · 1-10 to unset
      Jun 22, 2017 to Jan 17, 2018
    • State-registered IARs · 2 to 3
      Jun 22, 2017 to Jan 17, 2018
    • Other offices · unset to 0.0
      Jun 22, 2017 to Jan 17, 2018
    • Discretionary RAUM · $146M to $201M
      Jun 22, 2017 to Jan 17, 2018
    • HNW RAUM · unset to 129831842.0
      Jun 22, 2017 to Jan 17, 2018
    Signals
    4 dated events
    • Mark Andrew Jones left Integrated Wealth Management, Llc for Cwm, Llc (registered 2021-10-04)
      Jan 26, 2022 · Advisor changed firm · fact
    • Brent Stanley Pine left Integrated Wealth Management, Llc for Cwm, Llc (registered 2021-10-04)
      Jan 26, 2022 · Advisor changed firm · fact
    • 2 advisors left Integrated Wealth Management, LLC (Scottsdale, AZ) for Cwm, LLC on the same day
      Jan 26, 2022 · Team lift-out · derived
    • Nmn David Young (Chief Investment Officer) no longer on Schedule A of Integrated Wealth Management, Llc (listed 2020-03-27, absent 2020-06-30)
      Jun 30, 2020 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026