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
V••••••••• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 4, 2021 · 7 filings
SEC status approved since Sep 3, 2021
RAUM
$166M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
70%
$115M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$82.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$166M as of Mar 5, 2026
Mar 21, 2022$122M then
HNW client RAUM$104M as of Mar 5, 2026
Mar 21, 2022$88.2M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 21, 20222 then
Employees (5.A)3 as of Mar 5, 2026
Mar 21, 20223 then
Private funds4 as of Mar 5, 2026
Mar 21, 20224 then
RAUM +23% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $391,863derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 20%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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $47.1M, 33 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M63%
- Pension and profit-sharing plans$33.8M20%
- Corporations and businesses$16.5M10.0%
- Individuals$11.7M7.1%
- Individual clients
- 45reported
- HNW clients
- 44reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 423reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.1M for 33 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.2 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••••• I••••••• M•••••Certified Financial Planner | Scottsdale, Az | Sep 29, 2004 | 26 y | 1 |
| M•••••• M•••• M••••• | Scottsdale, Az | Jun 18, 2019 | 22 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
- V•••••• B•••• L•• to T•• W••••• A•••••••• I•••Jun 19, 2019 · Other
Joined, latest
- J••••• I••••••• M••••• from K••• I••••••••• A•••••••Sep 29, 2004 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E• B•••• L•• | Other Private Fund | $5.7M | 2 | Aug 4, 2021 |
| E• J••• L•• | Other Private Fund | $5.7M | 2 | Aug 4, 2021 |
| N•••• J••• L•• | Other Private Fund | $1.6M | 2 | Aug 4, 2021 |
| N•••• B•••• L•• | Other Private Fund | $1.6M | 2 | Aug 4, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••••• I••••••• · Member And President/Chief Compliance Officercontrolsince 12/2008 · owns 50% to 75%
- M•••••• M••••••• M•••• · Membercontrolsince 01/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- J••••• I• M••••• I•• C••• P•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 429 to 423Apr 30, 2025 to Mar 5, 2026
- HNW clients · 46 to 44Apr 30, 2025 to Mar 5, 2026
- Individual clients · 38 to 45Apr 30, 2025 to Mar 5, 2026
- Pension plan clients · 21 to 20Apr 30, 2025 to Mar 5, 2026
- Assets in custody · $64.5M to $47.1MApr 30, 2025 to Mar 5, 2026
- Discretionary RAUM · $124M to $153MApr 30, 2025 to Mar 5, 2026
- HNW RAUM · $81.3M to $104MApr 30, 2025 to Mar 5, 2026
- Individual RAUM · $8.3M to $11.7MApr 30, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $10.4M to $12.9MApr 30, 2025 to Mar 5, 2026
- Pension RAUM · $28.6M to $33.8MApr 30, 2025 to Mar 5, 2026
- RAUM · $134M to $166MApr 30, 2025 to Mar 5, 2026
- Accounts · 462 to 429Mar 4, 2024 to Apr 30, 2025
- Corporate clients · 4 to 7Mar 4, 2024 to Apr 30, 2025
- Individual clients · 39 to 38Mar 4, 2024 to Apr 30, 2025
- Pension plan clients · 17 to 21Mar 4, 2024 to Apr 30, 2025
- Assets in custody · $41.7M to $64.5MMar 4, 2024 to Apr 30, 2025
- Financial planning clients · 0 to 0Mar 4, 2024 to Apr 30, 2025
- Discretionary RAUM · $114M to $124MMar 4, 2024 to Apr 30, 2025
- HNW RAUM · $76.9M to $81.3MMar 4, 2024 to Apr 30, 2025
- Individual RAUM · $8.7M to $8.3MMar 4, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $8.3M to $10.4MMar 4, 2024 to Apr 30, 2025
- Pension RAUM · $22.3M to $28.6MMar 4, 2024 to Apr 30, 2025
- RAUM · $123M to $134MMar 4, 2024 to Apr 30, 2025
- Accounts · 415 to 462Mar 14, 2023 to Mar 4, 2024
- Corporate clients · 2 to 4Mar 14, 2023 to Mar 4, 2024
- HNW clients · 32 to 46Mar 14, 2023 to Mar 4, 2024
- Individual clients · 53 to 39Mar 14, 2023 to Mar 4, 2024
- Pension plan clients · 21 to 17Mar 14, 2023 to Mar 4, 2024
- Assets in custody · $37.2M to $41.7MMar 14, 2023 to Mar 4, 2024
- Discretionary RAUM · $97.4M to $114MMar 14, 2023 to Mar 4, 2024
- HNW RAUM · $70.7M to $76.9MMar 14, 2023 to Mar 4, 2024
- Individual RAUM · $13.3M to $8.7MMar 14, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $8.5M to $8.3MMar 14, 2023 to Mar 4, 2024
- Pension RAUM · $20.7M to $22.3MMar 14, 2023 to Mar 4, 2024
- RAUM · $106M to $123MMar 14, 2023 to Mar 4, 2024
- Accounts · 388 to 415Nov 8, 2022 to Mar 14, 2023
- Corporate clients · 4 to 2Nov 8, 2022 to Mar 14, 2023
- HNW clients · 45 to 32Nov 8, 2022 to Mar 14, 2023
- Individual clients · 36 to 53Nov 8, 2022 to Mar 14, 2023
- Pension plan clients · 19 to 21Nov 8, 2022 to Mar 14, 2023
Signals
1 dated events
- V••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- V••••••••• W••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 602-212-1040reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/vestpointe-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.V•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 602-212-1040reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- VESTPOINTE.COM/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- VESTPOINTE.COM/team-memberreportedpublished 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
- $82.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026