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.
SEC-registered adviser
Intelligent Capitalworks
Legal name Icw Investment Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 7, 2012 · 37 filings
SEC status approved since Jun 23, 2005
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$361M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$377M as of Mar 31, 2026
Mar 26, 2012$108M then
HNW client RAUM$353M as of Mar 31, 2026
Mar 29, 2018$130M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 26, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $94.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$353M94%
- Charitable organizations$9.9M2.6%
- Individuals$8.5M2.3%
- Pension and profit-sharing plans$5.3M1.4%
- Individual clients
- 17reported
- HNW clients
- 79reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 341reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| Vincent Harl RossiCertified Financial Planner | Scottsdale, Az | Aug 18, 2005 | 33 y | 1 |
| Monique Marie PressleyChartered Financial Consultant | Scottsdale, Az | Aug 12, 2016 | 27 y | 3 |
| Charles Vincent RossiCertified Financial Planner, Chartered Financial Consultant | Scottsdale, Az | Oct 13, 2016 | 12 y | 0 |
| Jennifer Jill RossiChartered Financial Consultant | Scottsdale, Az | Feb 24, 2025 | 20 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Michael Rossi to J.P. Morgan Securities LLCJun 2, 2026 · RIA to wirehouse
- Louis Bradley Priebe to Gordon Asset Management, LLCJul 9, 2009 · Other
Joined, latest
- Monique Marie Pressley from Stableford Capital LLCAug 12, 2016 · Other
- Louis Bradley Priebe from Ameriprise Financial Services, LLCSep 4, 2008 · Other
- Vincent Harl Rossi from Morgan Stanley Dw Inc.Aug 18, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harl Vincent Rossi · President, Chief Investment Officercontrolsince 08/2005 · owns 75% or more
- Suzanne Jillian Carlson · Chief Compliance Officersince 01/2017 · owns less than 5%
- Vincent Charles Rossi · Vice Presidentsince 12/2021 · owns less than 5%
- Jill Jennifer Rossi · Vice President, Chief Administrative Officersince 02/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 332 to 341Aug 12, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Aug 12, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Aug 12, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 1Aug 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $356M to $377MAug 12, 2025 to Mar 31, 2026
- HNW RAUM · $334M to $353MAug 12, 2025 to Mar 31, 2026
- Individual RAUM · $7.3M to $8.5MAug 12, 2025 to Mar 31, 2026
- Pension RAUM · $5.8M to $5.3MAug 12, 2025 to Mar 31, 2026
- RAUM · $356M to $377MAug 12, 2025 to Mar 31, 2026
- Accounts · 315 to 332Mar 28, 2025 to Aug 12, 2025
- Advisory employees · 4 to 3Mar 28, 2025 to Aug 12, 2025
- HNW clients · 80 to 79Mar 28, 2025 to Aug 12, 2025
- Individual clients · 14 to 17Mar 28, 2025 to Aug 12, 2025
- Discretionary RAUM · $336M to $356MMar 28, 2025 to Aug 12, 2025
- HNW RAUM · $314M to $334MMar 28, 2025 to Aug 12, 2025
- Individual RAUM · $8.1M to $7.3MMar 28, 2025 to Aug 12, 2025
- Pension RAUM · $5.5M to $5.8MMar 28, 2025 to Aug 12, 2025
- RAUM · $336M to $356MMar 28, 2025 to Aug 12, 2025
- Accounts · 302 to 315Apr 3, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Apr 3, 2024 to Mar 28, 2025
- HNW clients · 76 to 80Apr 3, 2024 to Mar 28, 2025
- Individual clients · 17 to 14Apr 3, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Apr 3, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 5Apr 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $298M to $336MApr 3, 2024 to Mar 28, 2025
- HNW RAUM · $276M to $314MApr 3, 2024 to Mar 28, 2025
- Individual RAUM · $9.0M to $8.1MApr 3, 2024 to Mar 28, 2025
- Pension RAUM · $4.6M to $5.5MApr 3, 2024 to Mar 28, 2025
- RAUM · $298M to $336MApr 3, 2024 to Mar 28, 2025
- Accounts · 266 to 302Mar 30, 2023 to Mar 28, 2024
- Charity clients · 1 to 2Mar 30, 2023 to Mar 28, 2024
- HNW clients · 70 to 76Mar 30, 2023 to Mar 28, 2024
- Individual clients · 14 to 17Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $241M to $298MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $228M to $276MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $6.2M to $9.0MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $200,000 to $0Mar 30, 2023 to Mar 28, 2024
- Pension RAUM · $3.8M to $4.6MMar 30, 2023 to Mar 28, 2024
- RAUM · $242M to $298MMar 30, 2023 to Mar 28, 2024
- Accounts · 269 to 266May 13, 2022 to Mar 30, 2023
Signals
1 dated events
- Michael Rossi left Intelligent Capitalworks for J.P. Morgan Securities Llc (registered 2026-06-30)Jun 2, 2026 · Advisor changed firm · 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
- 480-248-2223reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-951-2900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-542-2900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/intelligent-capitalworksreportedpublic record, Form ADV, Sep 17, 2026
- Website
- INTELLIGENTCAPITALWORKS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-951-2900reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- intelligentcapitalworks.com/contact-pagereportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- intelligentcapitalworks.com/people-and-careersreportedpublished by the firm, firm site, Sep 15, 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
- $94.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026