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•••••• W••• P•••••••• L••
Latest filing Jan 13, 2026
First filing on the tape Jan 24, 2012 · 24 filings
SEC status approved since Mar 11, 2004
RAUM
$300M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
100%
$300M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$300M as of Jan 13, 2026
Jan 24, 2012$123M then
HNW client RAUM$15.5M as of Jan 13, 2026
Jan 24, 2018$93.0M then
State-registered IARs (5.B.3)2 as of Jan 13, 2026
Jan 16, 20132 then
Employees (5.A)3 as of Jan 13, 2026
Jan 16, 20133 then
Private funds: no history
RAUM +9.0% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 13, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $221,251derivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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
- Individuals$284M95%
- High-net-worth individuals$15.5M5.2%
- Individual clients
- 103reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 177reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C• C••••Chartered Financial Analyst | Tucson, Az | Jan 10, 2011 | 25 y | 1 |
| J•••• J••• R••••• | Tucson, Az | Jan 10, 2011 | 30 y | 1 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• C• · Managing Partners/ Chief Compliance Officercontrolsince 02/2004 · owns 50% to 75%
- R•••••• J••••• J••• · Managing Partnercontrolsince 02/2004 · owns 50% to 75%
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 | 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
- HNW share shiftChange between filings · filing Jan 13, 2026HNW share of RAUM moved from 92.0% to 5.0% between the annual amendments of 2025-01-23 and 2026-01-13peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 166 to 177Jan 23, 2025 to Jan 13, 2026
- HNW clients · 63 to 70Jan 23, 2025 to Jan 13, 2026
- Discretionary RAUM · $241M to $251MJan 23, 2025 to Jan 13, 2026
- HNW RAUM · $253M to $15.5MJan 23, 2025 to Jan 13, 2026
- Individual RAUM · $22.3M to $284MJan 23, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $34.7M to $49.0MJan 23, 2025 to Jan 13, 2026
- RAUM · $275M to $300MJan 23, 2025 to Jan 13, 2026
- Accounts · 177 to 166Jan 23, 2024 to Jan 23, 2025
- HNW clients · 51 to 63Jan 23, 2024 to Jan 23, 2025
- Individual clients · 126 to 103Jan 23, 2024 to Jan 23, 2025
- Financial planning clients · 1-10 to 1-10Jan 23, 2024 to Jan 23, 2025
- Discretionary RAUM · $209M to $241MJan 23, 2024 to Jan 23, 2025
- HNW RAUM · $222M to $253MJan 23, 2024 to Jan 23, 2025
- Individual RAUM · $29.8M to $22.3MJan 23, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $42.9M to $34.7MJan 23, 2024 to Jan 23, 2025
- RAUM · $252M to $275MJan 23, 2024 to Jan 23, 2025
- HNW clients · 49 to 51Oct 5, 2023 to Jan 23, 2024
- Individual clients · 128 to 126Oct 5, 2023 to Jan 23, 2024
- Discretionary RAUM · $190M to $209MOct 5, 2023 to Jan 23, 2024
- HNW RAUM · $188M to $222MOct 5, 2023 to Jan 23, 2024
- Individual RAUM · $35.8M to $29.8MOct 5, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $33.5M to $42.9MOct 5, 2023 to Jan 23, 2024
- RAUM · $223M to $252MOct 5, 2023 to Jan 23, 2024
- Accounts · 410 to 177Nov 11, 2022 to Jan 11, 2023
- HNW clients · 71 to 49Nov 11, 2022 to Jan 11, 2023
- Individual clients · 107 to 128Nov 11, 2022 to Jan 11, 2023
- Discretionary RAUM · $170M to $190MNov 11, 2022 to Jan 11, 2023
- HNW RAUM · $182M to $188MNov 11, 2022 to Jan 11, 2023
- Individual RAUM · $24.4M to $35.8MNov 11, 2022 to Jan 11, 2023
- Non-discretionary RAUM · $36.0M to $33.5MNov 11, 2022 to Jan 11, 2023
- RAUM · $206M to $223MNov 11, 2022 to Jan 11, 2023
- Accounts · 425 to 410Jan 15, 2021 to Jan 25, 2022
- HNW clients · 69 to 71Jan 15, 2021 to Jan 25, 2022
- Individual clients · 116 to 107Jan 15, 2021 to Jan 25, 2022
- Discretionary RAUM · $122M to $170MJan 15, 2021 to Jan 25, 2022
- HNW RAUM · $141M to $182MJan 15, 2021 to Jan 25, 2022
- Individual RAUM · $22.9M to $24.4MJan 15, 2021 to Jan 25, 2022
- Non-discretionary RAUM · $41.6M to $36.0MJan 15, 2021 to Jan 25, 2022
- RAUM · $164M to $206MJan 15, 2021 to Jan 25, 2022
- Accounts · 509 to 425Jun 29, 2020 to Jan 15, 2021
Signals
No event on the tape.
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 phone
- 520-296-1939reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 520-296-9803reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-296-9803reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CAPITALW•••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 520-296-9803reportedpublic record, Form ADV, Jan 13, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026