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

R•• P•••••• W••••• M•••••••••

Former SEC-registered adviserPhoenix, ArizonaCRD 117676SEC 801-66830IAPD
Legal name R•••••••• T••••• S•••••• • A••••••••• L••
Latest filing Sep 30, 2021
First filing on the tape Mar 28, 2012 · 25 filings
RAUM
$357M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
96%
$342M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$357M as of Mar 18, 2021
Mar 28, 2012$176M then
HNW client RAUM$282M as of Mar 18, 2021
Mar 29, 2018$190M then
State-registered IARs (5.B.3)2 as of Mar 18, 2021
Apr 1, 20131 then
Employees (5.A)7 as of Mar 18, 2021
Apr 1, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 30, 2021; every figure names its basis
RAUM per advisor
$178MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
135derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$422,946derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$65.5M, 64 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
  • 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)
  • 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$282M79%
  • Individuals$60.4M17%
  • Pension and profit-sharing plans$14.6M4.1%
Individual clients
166reported
HNW clients
103reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
844reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$65.5M for 64 clientsreported
Compensation
% of AUM, fixedreported
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
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
    • R•••••••• J••• D••••• S•••••• · Ceo/Foundercontrol
      since 04/2000 · owns 50% to 75%
    • S••••••• L•••• M•••• · Chief Financial Officer/Chief Compliance Officercontrol
      since 10/2003 · owns 10% to 25%
    • T••••• K••••• M•••••• · Presidentcontrol
      since 10/2003 · owns 25% to 50%
    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
    • Advisory activities · 3 to 4
      Aug 18, 2021 to Sep 29, 2021
    • Accounts · 828 to 844
      Jun 16, 2020 to Mar 18, 2021
    • HNW clients · 90 to 103
      Jun 16, 2020 to Mar 18, 2021
    • Individual clients · 164 to 166
      Jun 16, 2020 to Mar 18, 2021
    • Pension plan clients · unset to 6.0
      Jun 16, 2020 to Mar 18, 2021
    • Assets in custody · $38.6M to $65.5M
      Jun 16, 2020 to Mar 18, 2021
    • Employees · 6 to 7
      Jun 16, 2020 to Mar 18, 2021
    • Financial planning clients · 51-100 to 11-25
      Jun 16, 2020 to Mar 18, 2021
    • Discretionary RAUM · $269M to $317M
      Jun 16, 2020 to Mar 18, 2021
    • HNW RAUM · $233M to $282M
      Jun 16, 2020 to Mar 18, 2021
    • Individual RAUM · $64.2M to $60.4M
      Jun 16, 2020 to Mar 18, 2021
    • Non-discretionary RAUM · $40.3M to $40.1M
      Jun 16, 2020 to Mar 18, 2021
    • Pension RAUM · $12.1M to $14.6M
      Jun 16, 2020 to Mar 18, 2021
    • RAUM · $310M to $357M
      Jun 16, 2020 to Mar 18, 2021
    • Accounts · 795 to 828
      Oct 15, 2019 to Mar 17, 2020
    • HNW clients · 73 to 90
      Oct 15, 2019 to Mar 17, 2020
    • Individual clients · 179 to 164
      Oct 15, 2019 to Mar 17, 2020
    • Assets in custody · $69.0M to $38.6M
      Oct 15, 2019 to Mar 17, 2020
    • Discretionary RAUM · $234M to $269M
      Oct 15, 2019 to Mar 17, 2020
    • HNW RAUM · $192M to $233M
      Oct 15, 2019 to Mar 17, 2020
    • Individual RAUM · $71.2M to $64.2M
      Oct 15, 2019 to Mar 17, 2020
    • Non-discretionary RAUM · $39.0M to $40.3M
      Oct 15, 2019 to Mar 17, 2020
    • Pension RAUM · $10.1M to $12.1M
      Oct 15, 2019 to Mar 17, 2020
    • RAUM · $273M to $310M
      Oct 15, 2019 to Mar 17, 2020
    • Accounts · 763 to 795
      Apr 9, 2018 to Mar 29, 2019
    • HNW clients · 76 to 73
      Apr 9, 2018 to Mar 29, 2019
    • Individual clients · 178 to 179
      Apr 9, 2018 to Mar 29, 2019
    • Pension plan clients · 4.0 to unset
      Apr 9, 2018 to Mar 29, 2019
    • Assets in custody · $39.4M to $69.0M
      Apr 9, 2018 to Mar 29, 2019
    • Discretionary RAUM · $225M to $234M
      Apr 9, 2018 to Mar 29, 2019
    • HNW RAUM · $190M to $192M
      Apr 9, 2018 to Mar 29, 2019
    • Individual RAUM · $68.5M to $71.2M
      Apr 9, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $42.7M to $39.0M
      Apr 9, 2018 to Mar 29, 2019
    • Pension RAUM · $9.5M to $10.1M
      Apr 9, 2018 to Mar 29, 2019
    • RAUM · $268M to $273M
      Apr 9, 2018 to Mar 29, 2019
    • Accounts · 770 to 763
      Sep 19, 2017 to Mar 29, 2018
    • HNW clients · unset to 76.0
      Sep 19, 2017 to Mar 29, 2018
    • Individual clients · unset to 178.0
      Sep 19, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 4.0
      Sep 19, 2017 to Mar 29, 2018
    • Assets in custody · unset to 39382917.0
      Sep 19, 2017 to Mar 29, 2018
    Signals
    3 dated events
    • D•••• S•••••• R•••••••• J•• left R•• P•••••• W••••• M••••••••• for M•••••• (registered 2022-02-07)
      Jan 6, 2022 · Advisor changed firm · fact
    • K•••• M•••••• T•••• left R•• P•••••• W••••• M••••••••• for M•••••• (registered 2021-12-14)
      Jan 6, 2022 · Advisor changed firm · fact
    • 2 advisors left R•• P•••••• W••••• M••••••••• (Phoenix, AZ) for M•••••• on the same day
      Jan 6, 2022 · Team lift-out · derived
    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