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

Unified Wealth Management, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 133202SEC 801-107512IAPD
Legal name Unified Wealth Management, LLC.
Latest filing Jun 30, 2020
First filing on the tape Mar 27, 2012 · 25 filings
RAUM
$162M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
100%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$162M as of Feb 28, 2020
Mar 27, 2012$75.0M then
HNW client RAUM$64.5M as of Feb 28, 2020
Mar 29, 2018$58.0M then
State-registered IARs (5.B.3)4 as of Feb 28, 2020
Mar 27, 20120 then
Employees (5.A)8 as of Feb 28, 2020
Mar 29, 20178 then
Private funds: no history
RAUM -8.2% over the last fiscal year+6.7% a year over threeIARs 6 to 4offices 5 to 4
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$40.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
202derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$542,085derivedHNW RAUM over HNW clients
Average account
$200,989derivedRAUM over accounts (5.F.2.f)
Discretionary
58%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-8.2%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+25%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$97.5M60%
  • High-net-worth individuals$64.5M40%
Individual clients
687reported
HNW clients
119reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
806reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
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
    • Andrew Richard Boehm · Member/Chief Compliance Officercontrol
      since 10/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • West Hartford, CT1 employees
    • Westport, CT1 employees
    • Phoenix, AZ1 employees
    • Hartford, CT1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 646 to 806
      Jun 25, 2019 to Feb 28, 2020
    • Advisory employees · 6 to 4
      Jun 25, 2019 to Feb 28, 2020
    • BD registered reps · 7 to 6
      Jun 25, 2019 to Feb 28, 2020
    • HNW clients · 29 to 119
      Jun 25, 2019 to Feb 28, 2020
    • Individual clients · 617 to 687
      Jun 25, 2019 to Feb 28, 2020
    • Employees · 9 to 8
      Jun 25, 2019 to Feb 28, 2020
    • State-registered IARs · 6 to 4
      Jun 25, 2019 to Feb 28, 2020
    • Other offices · 5 to 4
      Jun 25, 2019 to Feb 28, 2020
    • Discretionary RAUM · $88.8M to $94.7M
      Jun 25, 2019 to Feb 28, 2020
    • HNW RAUM · $52.6M to $64.5M
      Jun 25, 2019 to Feb 28, 2020
    • Individual RAUM · $124M to $97.5M
      Jun 25, 2019 to Feb 28, 2020
    • Non-discretionary RAUM · $87.6M to $67.3M
      Jun 25, 2019 to Feb 28, 2020
    • RAUM · $176M to $162M
      Jun 25, 2019 to Feb 28, 2020
    • Accounts · 976 to 646
      Sep 25, 2018 to Mar 15, 2019
    • Advisory employees · 7 to 6
      Sep 25, 2018 to Mar 15, 2019
    • Advisory activities · 3 to 4
      Sep 25, 2018 to Mar 15, 2019
    • BD registered reps · 8 to 7
      Sep 25, 2018 to Mar 15, 2019
    • HNW clients · 42 to 29
      Sep 25, 2018 to Mar 15, 2019
    • Individual clients · 408 to 617
      Sep 25, 2018 to Mar 15, 2019
    • Employees · 10 to 9
      Sep 25, 2018 to Mar 15, 2019
    • State-registered IARs · 8 to 6
      Sep 25, 2018 to Mar 15, 2019
    • Discretionary RAUM · $177M to $88.8M
      Sep 25, 2018 to Mar 15, 2019
    • HNW RAUM · $58.0M to $52.6M
      Sep 25, 2018 to Mar 15, 2019
    • Individual RAUM · $119M to $124M
      Sep 25, 2018 to Mar 15, 2019
    • Non-discretionary RAUM · $0 to $87.6M
      Sep 25, 2018 to Mar 15, 2019
    • RAUM · $177M to $176M
      Sep 25, 2018 to Mar 15, 2019
    • Other offices · 4 to 5
      Apr 18, 2018 to Sep 25, 2018
    • Accounts · 851 to 976
      May 25, 2017 to Mar 29, 2018
    • BD registered reps · 7 to 8
      May 25, 2017 to Mar 29, 2018
    • HNW clients · unset to 42.0
      May 25, 2017 to Mar 29, 2018
    • Individual clients · unset to 408.0
      May 25, 2017 to Mar 29, 2018
    • Employees · 8 to 10
      May 25, 2017 to Mar 29, 2018
    • Other offices · unset to 4.0
      May 25, 2017 to Mar 29, 2018
    • Discretionary RAUM · $133M to $177M
      May 25, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 57982954.0
      May 25, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 118931397.0
      May 25, 2017 to Mar 29, 2018
    • RAUM · $133M to $177M
      May 25, 2017 to Mar 29, 2018
    • Discretionary RAUM · $177M to $177M
      Mar 29, 2018 to Mar 29, 2018
    • RAUM · $177M to $177M
      Mar 29, 2018 to Mar 29, 2018
    • Accounts · 757 to 851
      Feb 7, 2017 to Mar 29, 2017
    Signals
    1 dated events
    • Unified Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Mar 22, 2016 · 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