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••••• M••••••••• L••
Latest filing May 28, 2026
First filing on the tape Feb 16, 2018 · 25 filings
SEC status approved since Mar 22, 2018
RAUM
$181M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$172M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$45.3M
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
25 filings and snapshots on the tape
RAUM$181M as of May 28, 2026
Feb 1, 2019$111M then
HNW client RAUM$98.0M as of May 28, 2026
Feb 1, 2019$55.0M then
State-registered IARs (5.B.3)4 as of May 28, 2026
Feb 1, 20194 then
Employees (5.A)4 as of May 28, 2026
Feb 1, 20194 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 28, 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
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $233,940derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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 securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.0M54%
- Individuals$73.5M41%
- Pension and profit-sharing plans$9.5M5.3%
- Individual clients
- 231reported
- HNW clients
- 49reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 774reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| M••••• T••••• C•••Certified Financial Planner, Chartered Financial Consultant | Scottsdale, Az | Jun 7, 2005 | 34 y | 0 |
| C••••••••• A•••••• O•••••• | S••••Sdale, Az | Dec 7, 2005 | 26 y | 0 |
| R••••• A•••••• D• C•••• | S••••Sdale, Az | Jul 18, 2011 | 19 y | 0 |
| P••• C••••• M•••••Certified Financial Planner | S••••Sdale, Az | Nov 26, 2019 | 27 y | 2 |
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
- J•• G•••••• G••••• to A•••••• W••••• M••••••••• L••Sep 10, 2020 · Other
- J••• P•••••• S•••• to C•••••• S••••• • C••• I•••Nov 22, 2005 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••• C••••• M••••• from S•••••••• I••••• G•••• L••Nov 26, 2019 · RIA to RIA
- J••• P•••••• S•••• from A••••••••• F•••••••• S•••••••• L••Jun 29, 2005 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• M•••••• T••••• · Managing Member Chief Compliance Officercontrolsince 02/2005 · owns less than 5%
- C•••• M•••••• T••••• · Trusteecontrolsince 02/2005 · owns 50% to 75% of The C••• Trust Dtd 02/16/2005
- C•••• E••••• S• · Trusteesince 02/2005 · owns 50% to 75% of The C••• Trust Dtd 02/16/2005
Entity owners
- T•• C••• T•••• • M••••• T• C••• A•• E•••• S• C•••• T••••••• D•• 0••••••••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| S••••Sdale, Az · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 822 to 774Mar 28, 2025 to Mar 26, 2026
- HNW clients · 80 to 49Mar 28, 2025 to Mar 26, 2026
- Individual clients · 200 to 231Mar 28, 2025 to Mar 26, 2026
- Financial planning clients · 101-250 to 251-500Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $161M to $181MMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $91.9M to $98.0MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $60.0M to $73.5MMar 28, 2025 to Mar 26, 2026
- Pension RAUM · $8.8M to $9.5MMar 28, 2025 to Mar 26, 2026
- RAUM · $161M to $181MMar 28, 2025 to Mar 26, 2026
- Accounts · 910 to 822Oct 16, 2024 to Mar 28, 2025
- Advisory employees · 5 to 4Oct 16, 2024 to Mar 28, 2025
- HNW clients · 84 to 80Oct 16, 2024 to Mar 28, 2025
- Assets in custody · $12.0M to $10.8MOct 16, 2024 to Mar 28, 2025
- Employees · 5 to 4Oct 16, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 101-250Oct 16, 2024 to Mar 28, 2025
- State-registered IARs · 5 to 4Oct 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $143M to $161MOct 16, 2024 to Mar 28, 2025
- HNW RAUM · $66.1M to $91.9MOct 16, 2024 to Mar 28, 2025
- Individual RAUM · $70.0M to $60.0MOct 16, 2024 to Mar 28, 2025
- Pension RAUM · $7.0M to $8.8MOct 16, 2024 to Mar 28, 2025
- RAUM · $143M to $161MOct 16, 2024 to Mar 28, 2025
- Accounts · 285 to 910Aug 30, 2024 to Oct 16, 2024
- Advisory employees · 3 to 5Mar 20, 2024 to Aug 30, 2024
- HNW clients · 85 to 84Mar 20, 2024 to Aug 30, 2024
- Pension plan clients · unset to 1.0Mar 20, 2024 to Aug 30, 2024
- Assets in custody · $13.0M to $12.0MMar 20, 2024 to Aug 30, 2024
- Employees · 3 to 5Mar 20, 2024 to Aug 30, 2024
- State-registered IARs · 3 to 5Mar 20, 2024 to Aug 30, 2024
- Discretionary RAUM · $145M to $143MMar 20, 2024 to Aug 30, 2024
- HNW RAUM · $69.0M to $66.1MMar 20, 2024 to Aug 30, 2024
- Individual RAUM · $69.0M to $70.0MMar 20, 2024 to Aug 30, 2024
- RAUM · $145M to $143MMar 20, 2024 to Aug 30, 2024
- Assets in custody · unset to 13000000.0Feb 7, 2023 to Mar 20, 2024
- Discretionary RAUM · $125M to $145MFeb 7, 2023 to Mar 20, 2024
- HNW RAUM · $59.5M to $69.0MFeb 7, 2023 to Mar 20, 2024
- Individual RAUM · $59.5M to $69.0MFeb 7, 2023 to Mar 20, 2024
- Pension RAUM · $6.0M to $7.0MFeb 7, 2023 to Mar 20, 2024
- RAUM · $125M to $145MFeb 7, 2023 to Mar 20, 2024
- Discretionary RAUM · $145M to $125MJun 27, 2022 to Feb 7, 2023
- HNW RAUM · $69.5M to $59.5MJun 27, 2022 to Feb 7, 2023
Signals
1 dated events
- C••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2018 · 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 phone
- 480-275-6354reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://WWW.C•••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-275-6354reportedpublic record, Form ADV, May 28, 2026
- Contact form
- colewealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- colewealth.com/our-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
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026