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
F•••••••• L••• P•••••••
Legal name F•••••••• L••• P••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2023 · 10 filings
SEC status approved since May 1, 2023
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$208M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.1M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$208M as of Mar 30, 2026
Mar 26, 2024$133M then
HNW client RAUM$129M as of Mar 30, 2026
Mar 26, 2024$62.0M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 26, 20243 then
Employees (5.A)7 as of Mar 30, 2026
Mar 26, 20245 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $52.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $267,467derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -61%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $2.0M, 3 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)
- 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$129M62%
- Individuals$78.9M38%
- Individual clients
- 229reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 779reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0M for 3 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• K•• F••• | Tempe, Az | Jan 2, 2004 | 39 y | 1 |
| G••• G•••••••• W•••• | Tempe, Az | Apr 1, 2020 | 19 y | 2 |
| W•••••• M•••••• F••• | Tempe, Az | Mar 25, 2024 | 13 y | 0 |
| K••••• M•••••• W•••• | Tempe, Az | Mar 16, 2026 | 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 headcount1 left over 36 months
Left, latest
- N•••• A• H•••••• to S•••••••• P•••••••• S••••••••• L••Oct 23, 2023 · RIA to RIA
- M•••••• R•••••• R••••• to O•••• I••••••••• I•••Aug 15, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- N•••• A• H•••••• from S•••••• F•••••••• S••••••••Mar 31, 2022 · Other
- G••• G•••••••• W•••• from M••••• S••••••Apr 1, 2020 · Wirehouse to independent RIA
- C•••••• K•• F••• from C••••••••• F•••••••• N••••••Jan 2, 2004 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• C••••••• K•• · Managercontrolsince 11/2003 · owns 50% to 75%
- W••••• G•••• G•••••••• · Member/Chief Compliance Officercontrolsince 03/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Tempe, Az · principal | 4 | 1 | 0 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ3 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $174,578,704 to $208,356,675, advisors 3 to 3, private clients 757 to 298, offices 1 to 1 (2025-04-02 to 2026-03-30)peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 27.0% to 62.0% between the annual amendments of 2025-04-02 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 757.0 to 298.0 (-61.0%) between the annual amendments of 2025-04-02 and 2026-03-30; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.9% percentile
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-17, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 788 to 779Nov 17, 2025 to Mar 30, 2026
- Corporate clients · 10.0 to unsetNov 17, 2025 to Mar 30, 2026
- HNW clients · 24 to 69Nov 17, 2025 to Mar 30, 2026
- Individual clients · 733 to 229Nov 17, 2025 to Mar 30, 2026
- Pension plan clients · 19.0 to unsetNov 17, 2025 to Mar 30, 2026
- Assets in custody · unset to 2042049.0Nov 17, 2025 to Mar 30, 2026
- Custody of client assets · false to trueNov 17, 2025 to Mar 30, 2026
- Employees · 6 to 7Nov 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $175M to $208MNov 17, 2025 to Mar 30, 2026
- HNW RAUM · $47.2M to $129MNov 17, 2025 to Mar 30, 2026
- Individual RAUM · $121M to $78.9MNov 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $34,600Nov 17, 2025 to Mar 30, 2026
- Pension RAUM · 4121981.0 to unsetNov 17, 2025 to Mar 30, 2026
- RAUM · $175M to $208MNov 17, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 51-100Apr 2, 2025 to Jul 29, 2025
- Accounts · 664 to 788Jan 28, 2025 to Feb 14, 2025
- Corporate clients · unset to 10.0Jan 28, 2025 to Feb 14, 2025
- HNW clients · 31 to 24Jan 28, 2025 to Feb 14, 2025
- Individual clients · 277 to 733Jan 28, 2025 to Feb 14, 2025
- Pension plan clients · unset to 19.0Jan 28, 2025 to Feb 14, 2025
- Employees · 5 to 6Jan 28, 2025 to Feb 14, 2025
- Discretionary RAUM · $133M to $175MJan 28, 2025 to Feb 14, 2025
- HNW RAUM · $62.0M to $47.2MJan 28, 2025 to Feb 14, 2025
- Individual RAUM · $71.0M to $121MJan 28, 2025 to Feb 14, 2025
- Pension RAUM · unset to 4121981.0Jan 28, 2025 to Feb 14, 2025
- RAUM · $133M to $175MJan 28, 2025 to Feb 14, 2025
- HQ city · PHOENIX to TEMPEAug 27, 2024 to Jan 28, 2025
- Accounts · 672 to 664Oct 23, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Oct 23, 2023 to Mar 26, 2024
- Advisory activities · 3 to 4Oct 23, 2023 to Mar 26, 2024
- HNW clients · 18 to 31Oct 23, 2023 to Mar 26, 2024
- Individual clients · 255 to 277Oct 23, 2023 to Mar 26, 2024
- Pension plan clients · 8.0 to unsetOct 23, 2023 to Mar 26, 2024
- Employees · 4 to 5Oct 23, 2023 to Mar 26, 2024
- Financial planning clients · 101-250 to 51-100Oct 23, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 3Oct 23, 2023 to Mar 26, 2024
- Other offices · 2 to 1Oct 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $113M to $133MOct 23, 2023 to Mar 26, 2024
- HNW RAUM · $47.4M to $62.0MOct 23, 2023 to Mar 26, 2024
- Individual RAUM · $64.3M to $71.0MOct 23, 2023 to Mar 26, 2024
Signals
3 dated events
- N•••• A• H•••••• left F•••••••• L••• P••••••• for S•••••••• P•••••••• S••••••••• L•• (registered 2024-01-16)Oct 23, 2023 · Advisor changed firm · fact
- M•••••• R•••••• R••••• left F•••••••• L••• P••••••• for O•••• I••••••••• I••• (registered 2024-09-06)Aug 15, 2023 · Advisor changed firm · fact
- F•••••••• L••• P••••••• filed its initial SEC registration (Form ADV)Mar 31, 2023 · 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
- Business email
- info@financiallifeplanners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-477-8529reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-477-8530reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINANCIALL•••P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-477-8530reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- financiallifeplanners.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- financiallifeplanners.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $52.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026