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.

Former SEC-registered adviser

Surevest Wealth Management

Former SEC-registered adviserPhoenix, ArizonaCRD 122369SEC 801-112653IAPD
Legal name Surevest Inc.
Latest filing Jan 24, 2020
First filing on the tape Feb 16, 2018 · 22 filings
RAUM
$382M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$382M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$382M as of Jan 24, 2020
Jan 22, 2019$236M then
HNW client RAUM$291M as of Jan 24, 2020
Jan 22, 2019$101M then
State-registered IARs (5.B.3)10 as of Jan 24, 2020
Jan 22, 20198 then
Employees (5.A)10 as of Jan 24, 2020
Jan 22, 20198 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 8 to 10offices 5 to 3
Practice profile
derived from the filing of Jan 24, 2020; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$494,909derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Wrap fee program
$68.5MreportedItem 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
  • High-net-worth individuals$291M76%
  • Individuals$91.0M24%
  • Charitable organizations$1,0260.0%
Individual clients
183reported
HNW clients
93reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
772reported
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
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
  • J Robert Luna · Chief Executive Officer, Chief Investment Officer, And Ccocontrol
    since 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Long Beach, CA4 employees
  • Las Vegas, NV1 employees
  • San Diego, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 771 to 772
    Nov 25, 2019 to Jan 24, 2020
  • Advisory employees · 8 to 10
    Nov 25, 2019 to Jan 24, 2020
  • Advisory activities · 6 to 5
    Nov 25, 2019 to Jan 24, 2020
  • HNW clients · 91 to 93
    Nov 25, 2019 to Jan 24, 2020
  • Individual clients · 187 to 183
    Nov 25, 2019 to Jan 24, 2020
  • Employees · 8 to 10
    Nov 25, 2019 to Jan 24, 2020
  • State-registered IARs · 8 to 10
    Nov 25, 2019 to Jan 24, 2020
  • Other offices · 5 to 3
    Nov 25, 2019 to Jan 24, 2020
  • Discretionary RAUM · $344M to $356M
    Nov 25, 2019 to Jan 24, 2020
  • HNW RAUM · $281M to $291M
    Nov 25, 2019 to Jan 24, 2020
  • Individual RAUM · $76.7M to $91.0M
    Nov 25, 2019 to Jan 24, 2020
  • Non-discretionary RAUM · $25.2M to $26.3M
    Nov 25, 2019 to Jan 24, 2020
  • Pension RAUM · 7051693.0 to unset
    Nov 25, 2019 to Jan 24, 2020
  • RAUM · $369M to $382M
    Nov 25, 2019 to Jan 24, 2020
  • Wrap assets (sponsor) · $68.2M to $0
    Nov 25, 2019 to Jan 24, 2020
  • Accounts · 692 to 771
    May 17, 2019 to Nov 25, 2019
  • HNW clients · 55 to 91
    May 17, 2019 to Nov 25, 2019
  • Individual clients · 212 to 187
    May 17, 2019 to Nov 25, 2019
  • Discretionary RAUM · $329M to $344M
    May 17, 2019 to Nov 25, 2019
  • HNW RAUM · $134M to $281M
    May 17, 2019 to Nov 25, 2019
  • Individual RAUM · $195M to $76.7M
    May 17, 2019 to Nov 25, 2019
  • Non-discretionary RAUM · $7.0M to $25.2M
    May 17, 2019 to Nov 25, 2019
  • Pension RAUM · $6.1M to $7.1M
    May 17, 2019 to Nov 25, 2019
  • RAUM · $336M to $369M
    May 17, 2019 to Nov 25, 2019
  • Wrap assets (sponsor) · $0 to $68.2M
    May 17, 2019 to Nov 25, 2019
  • Wrap assets (manager) · unset to 0.0
    Apr 30, 2019 to May 17, 2019
  • Wrap assets (sponsor) · unset to 0.0
    Apr 30, 2019 to May 17, 2019
  • Accounts · 719 to 692
    Jan 22, 2019 to Apr 8, 2019
  • HNW clients · 47 to 55
    Jan 22, 2019 to Apr 8, 2019
  • Individual clients · 260 to 212
    Jan 22, 2019 to Apr 8, 2019
  • Discretionary RAUM · $214M to $329M
    Jan 22, 2019 to Apr 8, 2019
  • HNW RAUM · $101M to $134M
    Jan 22, 2019 to Apr 8, 2019
  • Individual RAUM · $129M to $195M
    Jan 22, 2019 to Apr 8, 2019
  • Non-discretionary RAUM · $21.9M to $7.0M
    Jan 22, 2019 to Apr 8, 2019
  • Pension RAUM · $5.6M to $6.1M
    Jan 22, 2019 to Apr 8, 2019
  • RAUM · $236M to $336M
    Jan 22, 2019 to Apr 8, 2019
  • RAUM · $161M to $236M
    Sep 12, 2018 to Jan 22, 2019
  • Accounts · 572 to 719
    Sep 12, 2018 to Jan 22, 2019
  • Advisory employees · 5 to 8
    Sep 12, 2018 to Jan 22, 2019
  • HNW clients · 53 to 47
    Sep 12, 2018 to Jan 22, 2019
Signals
1 dated events
  • Surevest Wealth Management filed its initial SEC registration (Form ADV)
    Feb 16, 2018 · 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.
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