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••• F•••••••• A••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Nov 16, 2001
RAUM
$270M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$265M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$54.1M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$270M as of Mar 24, 2026
Mar 30, 2012$101M then
HNW client RAUM$249M as of Mar 24, 2026
Mar 28, 2018$128M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Mar 28, 20133 then
Employees (5.A)7 as of Mar 24, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 24, 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
- $54.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $776,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $12.7M, 14 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$249M92%
- Individuals$16.6M6.2%
- Pension and profit-sharing plans$3.8M1.4%
- Charitable organizations$1.2M0.5%
- Individual clients
- 36reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.7M for 14 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• A••• C•••••••••Certified Financial Planner | Scottsdale, Az | Aug 5, 1999 | 28 y | 0 |
| S••••• M•••••• B•••••••Certified Financial Planner | Scottsdale, Az | May 2, 2007 | 33 y | 1 |
| A••••• W••••••••• H••••••Certified Financial Planner, Personal Financial Specialist | Scottsdale, Az | Jul 27, 2015 | 12 y | 0 |
| M•••••• P• C••••••••• | Scottsdale, Az | Jan 11, 2024 | 10 y | 0 |
| W•••••• H•••• C••••••••• | Scottsdale, Az | Feb 5, 2024 | 10 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
- A•• B••• O• to T••••• C•••••• A•••••••• L••Oct 27, 2020 · RIA to RIA
Joined, latest
- S••••• M•••••• B••••••• from E•••• • Y•••• I••••••••• A••••••• L••May 2, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• K••••• A••• · President, Director, Chief Compliance Officercontrolsince 06/1999 · owns less than 5%
- C••••••••• J••••• L• · Trustee & Beneficiarycontrolsince 03/2015 · owns F of K• • J• C••••••••• F••••• T••••
- C••••••••• K••••• A••• · Trustee & Beneficiarycontrolsince 06/1999 · owns F of K• • J• C••••••••• F••••• T••••
Entity owners
- K• • J• C••••••••• F••••• T•••• · Shareholderdirect · 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 · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 332 to 348Mar 20, 2025 to Mar 24, 2026
- Individual clients · 26 to 36Mar 20, 2025 to Mar 24, 2026
- Assets in custody · $14.2M to $12.7MMar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $219M to $270MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $206M to $249MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $9.2M to $16.6MMar 20, 2025 to Mar 24, 2026
- Pension RAUM · $3.3M to $3.8MMar 20, 2025 to Mar 24, 2026
- RAUM · $219M to $270MMar 20, 2025 to Mar 24, 2026
- Accounts · 317 to 332Mar 21, 2024 to Mar 20, 2025
- HNW clients · 74 to 79Mar 21, 2024 to Mar 20, 2025
- Assets in custody · $5.4M to $14.2MMar 21, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $190M to $219MMar 21, 2024 to Mar 20, 2025
- HNW RAUM · $178M to $206MMar 21, 2024 to Mar 20, 2025
- Individual RAUM · $8.3M to $9.2MMar 21, 2024 to Mar 20, 2025
- Pension RAUM · $2.9M to $3.3MMar 21, 2024 to Mar 20, 2025
- RAUM · $190M to $219MMar 21, 2024 to Mar 20, 2025
- Accounts · 301 to 317Mar 22, 2023 to Mar 20, 2024
- Advisory employees · 3 to 5Mar 22, 2023 to Mar 20, 2024
- HNW clients · 71 to 74Mar 22, 2023 to Mar 20, 2024
- Individual clients · 25 to 26Mar 22, 2023 to Mar 20, 2024
- Assets in custody · $8.8M to $5.4MMar 22, 2023 to Mar 20, 2024
- State-registered IARs · 3 to 5Mar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $162M to $190MMar 22, 2023 to Mar 20, 2024
- HNW RAUM · $152M to $178MMar 22, 2023 to Mar 20, 2024
- Individual RAUM · $6.4M to $8.3MMar 22, 2023 to Mar 20, 2024
- Pension RAUM · $2.4M to $2.9MMar 22, 2023 to Mar 20, 2024
- RAUM · $162M to $190MMar 22, 2023 to Mar 20, 2024
- Accounts · 291 to 301Nov 17, 2022 to Mar 21, 2023
- Advisory employees · 5 to 3Nov 17, 2022 to Mar 21, 2023
- HNW clients · 69 to 71Nov 17, 2022 to Mar 21, 2023
- Individual clients · 21 to 25Nov 17, 2022 to Mar 21, 2023
- Assets in custody · $16.4M to $8.8MNov 17, 2022 to Mar 21, 2023
- Discretionary RAUM · $194M to $162MNov 17, 2022 to Mar 21, 2023
- HNW RAUM · $183M to $152MNov 17, 2022 to Mar 21, 2023
- Individual RAUM · $5.6M to $6.4MNov 17, 2022 to Mar 21, 2023
- Pension RAUM · $3.7M to $2.4MNov 17, 2022 to Mar 21, 2023
- RAUM · $194M to $162MNov 17, 2022 to Mar 21, 2023
- Employees · 5 to 7Mar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $201M to $194MMar 26, 2021 to Mar 28, 2022
Signals
1 dated events
- S••• F•••••••• A••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2015 · Succession (Item 4) · 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
- 480-305-8060reportedpublic record, Form ADV, Mar 24, 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
- $54.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026