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
C•••••••• F•••••••• G••••• L••
Latest filing Apr 28, 2026
First filing on the tape Apr 17, 2017 · 35 filings
SEC status approved since Apr 24, 2017
RAUM
$646M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$646M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$646M as of Apr 28, 2026
Mar 19, 2018$241M then
HNW client RAUM$585M as of Apr 28, 2026
Mar 19, 2018$180M then
State-registered IARs (5.B.3)5 as of Apr 28, 2026
Mar 19, 20185 then
Employees (5.A)10 as of Apr 28, 2026
Mar 19, 20185 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Apr 28, 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $466,959derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $265M, 192 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$585M91%
- Individuals$61.0M9.4%
- Individual clients
- 127reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,383reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $265M for 192 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A••••• G•••••••• K••••Certified Financial Planner | Tucson, Az | Mar 12, 2013 | 14 y | 0 |
| C••• J••••• M•••••••• | Tucson, Az | Feb 18, 2014 | 13 y | 0 |
| B•••••• R•• H•••••••Certified Financial Planner | Tucson, Az | Oct 6, 2017 | 15 y | 0 |
| B••••• C••••• C••••••• | Tucson, Az | Oct 30, 2017 | 33 y | 2 |
| D••••• N•••••• C•••••••Certified Financial Planner | Tucson, Az | Feb 5, 2025 | 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 headcount1 left over 36 months
Left, latest
- L••••• D•••• M••••• to E•••• F••••••••• L••Jan 7, 2025 · RIA to a state-registered adviser
- S•••• W•••••• S•••••• to A• W••••• S•••••••••Jun 22, 2017 · Other
Joined, latest
- L••••• D•••• M••••• from E••••••• B•••• F•••••••• P•••••••Oct 27, 2020 · Other
- B••••• C••••• C••••••• from C••••• A••••••• L••Oct 30, 2017 · Other
- S•••• W•••••• S•••••• from A••••• P•••••••• M••••••••• I•••Aug 19, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B•••••• C••••• · Member, Chief Compliance Officercontrolsince 01/2021 · owns 10% to 25%
- K••••• A•••••• G•••••••• · Managing Membercontrolsince 04/2018 · owns 25% to 50%
- M•••••••• P••••• B•••• · Membercontrolsince 10/2001 · owns 10% to 25%
- H•••••••• B••••••• R•• · Membersince 01/2024 · owns less than 5%
- M••••••••• C•••• J••••• · Membersince 01/2020 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 28, 2026HNW share of RAUM moved from 74.0% to 91.0% between the annual amendments of 2025-01-23 and 2026-04-28peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 17, 2026 to Apr 28, 2026
- Employees · 11 to 10Mar 17, 2026 to Apr 28, 2026
- State-registered IARs · 6 to 5Mar 17, 2026 to Apr 28, 2026
- Accounts · 1,372 to 1,383Jul 1, 2025 to Mar 17, 2026
- Advisory employees · 6 to 5Jul 1, 2025 to Mar 17, 2026
- HNW clients · 104 to 166Jul 1, 2025 to Mar 17, 2026
- Individual clients · 177 to 127Jul 1, 2025 to Mar 17, 2026
- Assets in custody · $198M to $265MJul 1, 2025 to Mar 17, 2026
- State-registered IARs · 7 to 6Jul 1, 2025 to Mar 17, 2026
- Other offices · 1 to 0Jul 1, 2025 to Mar 17, 2026
- Discretionary RAUM · $539M to $646MJul 1, 2025 to Mar 17, 2026
- HNW RAUM · $400M to $585MJul 1, 2025 to Mar 17, 2026
- Individual RAUM · $139M to $61.0MJul 1, 2025 to Mar 17, 2026
- RAUM · $539M to $646MJul 1, 2025 to Mar 17, 2026
- Advisory employees · 5 to 6Jan 23, 2025 to Jul 1, 2025
- Employees · 10 to 11Jan 23, 2025 to Jul 1, 2025
- Financial planning clients · 251-500 to 251-500Jan 23, 2025 to Jul 1, 2025
- State-registered IARs · 6 to 7Jan 23, 2025 to Jul 1, 2025
- Other offices · 0 to 1Jan 23, 2025 to Jul 1, 2025
- Accounts · 1,318 to 1,372Oct 2, 2024 to Jan 23, 2025
- HNW clients · 128 to 104Oct 2, 2024 to Jan 23, 2025
- Individual clients · 141 to 177Oct 2, 2024 to Jan 23, 2025
- Assets in custody · $166M to $198MOct 2, 2024 to Jan 23, 2025
- Employees · 9 to 10Oct 2, 2024 to Jan 23, 2025
- Discretionary RAUM · $469M to $539MOct 2, 2024 to Jan 23, 2025
- HNW RAUM · $397M to $400MOct 2, 2024 to Jan 23, 2025
- Individual RAUM · $71.2M to $139MOct 2, 2024 to Jan 23, 2025
- RAUM · $469M to $539MOct 2, 2024 to Jan 23, 2025
- Accounts · 1,269 to 1,318Nov 15, 2023 to Feb 21, 2024
- Individual clients · 144 to 141Nov 15, 2023 to Feb 21, 2024
- Assets in custody · $117M to $166MNov 15, 2023 to Feb 21, 2024
- Discretionary RAUM · $402M to $469MNov 15, 2023 to Feb 21, 2024
- HNW RAUM · $358M to $397MNov 15, 2023 to Feb 21, 2024
- Individual RAUM · $43.8M to $71.2MNov 15, 2023 to Feb 21, 2024
- RAUM · $402M to $469MNov 15, 2023 to Feb 21, 2024
- Accounts · 1,225 to 1,269Jan 3, 2023 to Mar 3, 2023
- HNW clients · 137 to 128Jan 3, 2023 to Mar 3, 2023
- Individual clients · 128 to 144Jan 3, 2023 to Mar 3, 2023
- Assets in custody · $207M to $117MJan 3, 2023 to Mar 3, 2023
- Discretionary RAUM · $411M to $402MJan 3, 2023 to Mar 3, 2023
Signals
2 dated events
- L••••• D•••• M••••• left C•••••••• F•••••••• G••••• L•• for E•••• F••••••••• L•• (registered 2025-01-10)Jan 7, 2025 · Advisor changed firm · fact
- C•••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2017 · 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
- Website
- C••••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-531-0550reportedpublic record, Form ADV, Apr 28, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026