DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R••• I••••••••• G••••• L••
Latest filing Feb 23, 2026
First filing on the tape Dec 13, 2011 · 9 filings
SEC status approved since Aug 3, 2022
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$218M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$238M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$238M as of Feb 23, 2026
Feb 1, 2012$81.2M then
HNW client RAUM$215M as of Feb 23, 2026
Mar 3, 2023$153M then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Feb 1, 20120 then
Employees (5.A)2 as of Feb 23, 2026
Mar 3, 20232 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $238MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 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
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$215M90%
- Corporations and businesses$20.7M8.7%
- Individuals$2.6M1.1%
- Individual clients
- n/areported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 97reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• M••••• H•••••• | Scottsdale, Az | Dec 3, 2001 | 25 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
- H••••••• E••••• M••••• · Managing Member/Chief Compliance Officercontrolsince 09/2001 · 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 · 98 to 97Mar 25, 2025 to Feb 23, 2026
- Discretionary RAUM · $213M to $238MMar 25, 2025 to Feb 23, 2026
- HNW RAUM · $193M to $215MMar 25, 2025 to Feb 23, 2026
- Individual RAUM · $1.4M to $2.6MMar 25, 2025 to Feb 23, 2026
- RAUM · $213M to $238MMar 25, 2025 to Feb 23, 2026
- Accounts · 94 to 98Feb 9, 2024 to Mar 25, 2025
- HNW clients · 34 to 35Feb 9, 2024 to Mar 25, 2025
- Financial planning clients · unset to Feb 9, 2024 to Mar 25, 2025
- Discretionary RAUM · $183M to $213MFeb 9, 2024 to Mar 25, 2025
- HNW RAUM · $167M to $193MFeb 9, 2024 to Mar 25, 2025
- Individual RAUM · $1.6M to $1.4MFeb 9, 2024 to Mar 25, 2025
- RAUM · $183M to $213MFeb 9, 2024 to Mar 25, 2025
- Accounts · 81 to 94Aug 3, 2023 to Feb 9, 2024
- HNW clients · 31 to 34Aug 3, 2023 to Feb 9, 2024
- Discretionary RAUM · $165M to $183MAug 3, 2023 to Feb 9, 2024
- HNW RAUM · $153M to $167MAug 3, 2023 to Feb 9, 2024
- Individual RAUM · $1.1M to $1.6MAug 3, 2023 to Feb 9, 2024
- RAUM · $165M to $183MAug 3, 2023 to Feb 9, 2024
- Accounts · 86 to 81Aug 4, 2022 to Mar 3, 2023
- HNW clients · 32 to 31Aug 4, 2022 to Mar 3, 2023
- Employees · 1 to 2Aug 4, 2022 to Mar 3, 2023
- Discretionary RAUM · $155M to $165MAug 4, 2022 to Mar 3, 2023
- HNW RAUM · $142M to $153MAug 4, 2022 to Mar 3, 2023
- Individual RAUM · $1.3M to $1.1MAug 4, 2022 to Mar 3, 2023
- RAUM · $155M to $165MAug 4, 2022 to Mar 3, 2023
- Accounts · 75 to 86Feb 1, 2012 to Jun 29, 2022
- Advisory employees · unset to 1.0Feb 1, 2012 to Jun 29, 2022
- Charity clients · unset to 0.0Feb 1, 2012 to Jun 29, 2022
- HNW clients · unset to 32.0Feb 1, 2012 to Jun 29, 2022
- Pension plan clients · unset to 0.0Feb 1, 2012 to Jun 29, 2022
- Pooled vehicle clients · unset to 0.0Feb 1, 2012 to Jun 29, 2022
- Employees · unset to 1.0Feb 1, 2012 to Jun 29, 2022
- Financial planning clients · 0 to unsetFeb 1, 2012 to Jun 29, 2022
- HQ city · MESA to SCOTTSDALEFeb 1, 2012 to Jun 29, 2022
- State-registered IARs · 0 to 1Feb 1, 2012 to Jun 29, 2022
- Other offices · unset to 0.0Feb 1, 2012 to Jun 29, 2022
- Discretionary RAUM · $81.2M to $155MFeb 1, 2012 to Jun 29, 2022
- HNW RAUM · unset to 142410742.0Feb 1, 2012 to Jun 29, 2022
- Individual RAUM · unset to 1305149.0Feb 1, 2012 to Jun 29, 2022
- Pension RAUM · unset to 0.0Feb 1, 2012 to Jun 29, 2022
Signals
2 dated events
- Kenneth Chad Rogers (Member) no longer on Schedule A of R••• I••••••••• G••••• L•• (listed 2012-02-01, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- R••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 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
- Principal office phone
- 480-703-7872reportedpublic record, Form ADV, Feb 23, 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
- $238Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026