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
T•••••••• F•••••••• S••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since May 2, 2006
RAUM
$442M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$431M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$442M as of Mar 31, 2026
Mar 28, 2012$215M then
HNW client RAUM$431M as of Mar 31, 2026
Mar 28, 2018$376M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 13, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+9.9% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$431M97%
- Corporations and businesses$11.3M2.6%
- Individual clients
- n/areported
- HNW clients
- 315reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 318reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• E••••• T•••••••• | Sun Lakes, Az | Oct 14, 2003 | 46 y | 0 |
| J••••• B•••••• J•••••• | Chandler, Az | Apr 20, 2021 | 18 y | 0 |
| J•••••• Z•••••••• | Chandler, Az | Jun 16, 2025 | 11 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
- W•••••• W•••••• S•••• to H•••••• F•••• I•••••• L••Mar 29, 2022 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J•••••• B•••••• · Chief Executive Officer, Chief Compliance Officercontrolsince 03/2024 · 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 |
|---|---|---|---|---|---|
| Chandler, Az · principal | 2 | 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
- very high RAUM per advisorStatic outlier · filing Mar 31, 2026RAUM per registered advisor of $147,277,852 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 297 to 318Mar 20, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Mar 20, 2025 to Mar 31, 2026
- HNW clients · 293 to 315Mar 20, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $384M to $442MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $366M to $431MMar 20, 2025 to Mar 31, 2026
- RAUM · $384M to $442MMar 20, 2025 to Mar 31, 2026
- Accounts · 289 to 297Mar 29, 2024 to Mar 20, 2025
- Corporate clients · 4.0 to unsetMar 29, 2024 to Mar 20, 2025
- HNW clients · 285 to 293Mar 29, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 20, 2025
- Discretionary RAUM · $344M to $384MMar 29, 2024 to Mar 20, 2025
- HNW RAUM · $327M to $366MMar 29, 2024 to Mar 20, 2025
- RAUM · $344M to $384MMar 29, 2024 to Mar 20, 2025
- Discretionary RAUM · $331M to $344MMar 26, 2024 to Mar 29, 2024
- HNW RAUM · $314M to $327MMar 26, 2024 to Mar 29, 2024
- RAUM · $331M to $344MMar 26, 2024 to Mar 29, 2024
- Accounts · 292 to 289Mar 22, 2023 to Mar 26, 2024
- HNW clients · 288 to 285Mar 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $333M to $331MMar 22, 2023 to Mar 26, 2024
- HNW RAUM · $321M to $314MMar 22, 2023 to Mar 26, 2024
- RAUM · $333M to $331MMar 22, 2023 to Mar 26, 2024
- Accounts · 401 to 292Jul 12, 2022 to Mar 22, 2023
- Corporate clients · 5 to 4Jul 12, 2022 to Mar 22, 2023
- HNW clients · 396 to 288Jul 12, 2022 to Mar 22, 2023
- Discretionary RAUM · $448M to $333MJul 12, 2022 to Mar 22, 2023
- HNW RAUM · $428M to $321MJul 12, 2022 to Mar 22, 2023
- RAUM · $448M to $333MJul 12, 2022 to Mar 22, 2023
- Accounts · 359 to 401Mar 31, 2021 to Mar 29, 2022
- HNW clients · 354 to 396Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $417M to $448MMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $399M to $428MMar 31, 2021 to Mar 29, 2022
- RAUM · $417M to $448MMar 31, 2021 to Mar 29, 2022
- Accounts · 351 to 359Jun 24, 2020 to Mar 31, 2021
- Corporate clients · 7 to 5Jun 24, 2020 to Mar 31, 2021
- HNW clients · 344 to 354Jun 24, 2020 to Mar 31, 2021
- Employees · 5 to 4Jun 24, 2020 to Mar 31, 2021
- State-registered IARs · 3 to 2Jun 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $414M to $417MJun 24, 2020 to Mar 31, 2021
- HNW RAUM · $393M to $399MJun 24, 2020 to Mar 31, 2021
Signals
4 dated events
- B•••••• J••••• J•••••• (Chief Executive Officer, Chief Compliance Officer) appeared on Schedule A of T•••••••• F•••••••• S••••••• I•••Mar 29, 2024 · Control person joined · fact
- Edward Leonard Templeton (President, Secretary, Treasurer & Director, Chief Compliance Officer) no longer on Schedule A of T•••••••• F•••••••• S••••••• I••• (listed 2024-03-26, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- T•••••••• F•••••••• S••••••• I••• reported RAUM $333.3M, down 26% from $448.0M (2022-07-12 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- W•••••• W•••••• S•••• left T•••••••• F•••••••• S••••••• I••• for H•••••• F•••• I•••••• L•• (registered 2022-05-11)Mar 29, 2022 · Advisor changed firm · 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
- Business email
- c•••••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 480-883-1073reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/27226633reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480.883.1073reportedpublic record, Form ADV, Mar 31, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026