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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Former SEC-registered adviser

S•••••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserTucson, ArizonaCRD 117052SEC 801-114643IAPD
Latest filing Feb 4, 2021
First filing on the tape Dec 27, 2018 · 9 filings
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$209M as of Feb 4, 2021
Feb 26, 2019$123M then
HNW client RAUM$71.4M as of Feb 4, 2021
Feb 26, 2019$9.2M then
State-registered IARs (5.B.3)2 as of Feb 4, 2021
Feb 26, 20196 then
Employees (5.A)3 as of Feb 4, 2021
Feb 26, 20196 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 5 to 2offices 3 to 1
Practice profile
derived from the filing of Feb 4, 2021; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
442derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$237,052derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$205MreportedItem 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
  • 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
  • Individuals$138M66%
  • High-net-worth individuals$71.4M34%
Individual clients
844reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
883reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• A••••••••• F••••••• · Shareholdercontrol
    since 01/2021 · owns 50% to 75%
  • Z•••• R••••••• J••• · President, Ccocontrol
    since 01/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 928 to 883
    Jan 30, 2021 to Feb 4, 2021
  • Advisory employees · 4 to 3
    Jan 30, 2021 to Feb 4, 2021
  • Advisory activities · 1 to 2
    Jan 30, 2021 to Feb 4, 2021
  • HNW clients · 42 to 39
    Jan 30, 2021 to Feb 4, 2021
  • Individual clients · 886 to 844
    Jan 30, 2021 to Feb 4, 2021
  • Employees · 4 to 3
    Jan 30, 2021 to Feb 4, 2021
  • Financial planning clients · unset to 1-10
    Jan 30, 2021 to Feb 4, 2021
  • State-registered IARs · 3 to 2
    Jan 30, 2021 to Feb 4, 2021
  • Discretionary RAUM · $168M to $209M
    Jan 30, 2021 to Feb 4, 2021
  • HNW RAUM · $78.3M to $71.4M
    Jan 30, 2021 to Feb 4, 2021
  • Individual RAUM · $89.2M to $138M
    Jan 30, 2021 to Feb 4, 2021
  • RAUM · $168M to $209M
    Jan 30, 2021 to Feb 4, 2021
  • Advisory employees · 7 to 4
    Jun 30, 2020 to Jan 30, 2021
  • BD registered reps · 5 to 3
    Jun 30, 2020 to Jan 30, 2021
  • Employees · 7 to 4
    Jun 30, 2020 to Jan 30, 2021
  • State-registered IARs · 5 to 3
    Jun 30, 2020 to Jan 30, 2021
  • Other offices · 3 to 1
    Jun 30, 2020 to Jan 30, 2021
  • Accounts · 876 to 928
    Jan 23, 2020 to Feb 7, 2020
  • Advisory employees · 6 to 7
    Jan 23, 2020 to Feb 7, 2020
  • BD registered reps · 6 to 5
    Jan 23, 2020 to Feb 7, 2020
  • HNW clients · 25 to 42
    Jan 23, 2020 to Feb 7, 2020
  • Individual clients · 851 to 886
    Jan 23, 2020 to Feb 7, 2020
  • Employees · 6 to 7
    Jan 23, 2020 to Feb 7, 2020
  • State-registered IARs · 6 to 5
    Jan 23, 2020 to Feb 7, 2020
  • Other offices · 2 to 3
    Jan 23, 2020 to Feb 7, 2020
  • Discretionary RAUM · $150M to $168M
    Jan 23, 2020 to Feb 7, 2020
  • HNW RAUM · $45.9M to $78.3M
    Jan 23, 2020 to Feb 7, 2020
  • Individual RAUM · $104M to $89.2M
    Jan 23, 2020 to Feb 7, 2020
  • RAUM · $150M to $168M
    Jan 23, 2020 to Feb 7, 2020
  • Accounts · 400 to 876
    Feb 26, 2019 to Sep 10, 2019
  • HNW clients · unset to 25.0
    Feb 26, 2019 to Sep 10, 2019
  • Individual clients · 400 to 851
    Feb 26, 2019 to Sep 10, 2019
  • Discretionary RAUM · $123M to $150M
    Feb 26, 2019 to Sep 10, 2019
  • HNW RAUM · $9.2M to $45.9M
    Feb 26, 2019 to Sep 10, 2019
  • Individual RAUM · $114M to $104M
    Feb 26, 2019 to Sep 10, 2019
  • RAUM · $123M to $150M
    Feb 26, 2019 to Sep 10, 2019
  • Advisory employees · 5 to 6
    Dec 27, 2018 to Feb 26, 2019
  • BD registered reps · 5 to 6
    Dec 27, 2018 to Feb 26, 2019
  • Employees · 9 to 6
    Dec 27, 2018 to Feb 26, 2019
  • State-registered IARs · 5 to 6
    Dec 27, 2018 to Feb 26, 2019
Signals
5 dated events
  • J••• R•••••• Z••• (President, Cco) appeared on Schedule A of S•••••••• I••••••••• A•••••••• I•••
    Jan 30, 2021 · Control person joined · fact
  • Farquhar Alexandra Kusler (Shareholder) appeared on Schedule A of S•••••••• I••••••••• A•••••••• I•••
    Jan 30, 2021 · Control person joined · fact
  • Barton J••• Schannep (President, Chief Compliance Officer) no longer on Schedule A of S•••••••• I••••••••• A•••••••• I••• (listed 2020-06-30, absent 2021-01-30)
    Jan 30, 2021 · Control person left · inference
  • Douglas Robert Wright (Partner) no longer on Schedule A of S•••••••• I••••••••• A•••••••• I••• (listed 2020-06-30, absent 2021-01-30)
    Jan 30, 2021 · Control person left · inference
  • S•••••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Dec 27, 2018 · ria f•••• adv filing · fact
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