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
A•••••• W••••• A•••••••
Legal name C•••••••• W••••• P•••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Apr 29, 2019 · 14 filings
SEC status approved since May 30, 2019
RAUM
$173M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$173M as of Jun 23, 2026
Mar 31, 2020$110M then
HNW client RAUM$155M as of Jun 23, 2026
Mar 31, 2020$88.4M then
State-registered IARs (5.B.3)1 as of Jun 23, 2026
Mar 31, 20203 then
Employees (5.A)2 as of Jun 23, 2026
Mar 31, 20203 then
Private funds: no history
RAUM +23% over the last fiscal year+9.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $553,018derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%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
- 1.0derived1 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
- -7.3%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M89%
- Individuals$18.5M11%
- Individual clients
- 52reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 313reported
- Financial planning clients
- 51-100reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• S•••••••••Certified Financial Planner | Hollywood, Fl | Jun 3, 2010 | 27 y | 5 |
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
- M••••• F•••••• to 7•• C••••••••• G••••• L••Aug 15, 2022 · RIA to a state-registered adviser
- R••••• A•••• O•••••• to P••••••• W••••• P•••••••• L••Mar 22, 2019 · RIA to a state-registered adviser
- A••••• S••••••••• to F•• W••••• M••••••••• L••Dec 31, 2008 · Other
Joined, latest
- M••••• F•••••• from C•••••• S••••• • C••• I•••Jan 17, 2018 · Affiliated broker-dealer or bank to independent RIA
- R••••• A•••• O•••••• from L•• F•••••••• L••Apr 24, 2013 · Other
- A••••• S••••••••• from F•• W••••• M••••••••• L••Jun 3, 2010 · Other
- A••••• S••••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Mar 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• A••••• · Managing Member/Ccocontrolsince 11/2005 · owns 75% or more
Related persons
Schedule D 7.A
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 Mar 23, 2026HNW share of RAUM moved from 21.0% to 89.0% between the annual amendments of 2025-03-26 and 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 431 to 313Sep 12, 2025 to Mar 23, 2026
- HNW clients · 72 to 50Sep 12, 2025 to Mar 23, 2026
- Individual clients · 38 to 52Sep 12, 2025 to Mar 23, 2026
- Financial planning clients · 1-10 to 51-100Sep 12, 2025 to Mar 23, 2026
- Legal name · B•••••• W••••• A•••••••• L•• to C•••••••• W••••• P•••••••• L••Sep 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $133M to $150MSep 12, 2025 to Mar 23, 2026
- HNW RAUM · $30.3M to $155MSep 12, 2025 to Mar 23, 2026
- Individual RAUM · $111M to $18.5MSep 12, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $8.3M to $23.4MSep 12, 2025 to Mar 23, 2026
- RAUM · $141M to $173MSep 12, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $11.7M to $8.3MMar 12, 2024 to Mar 26, 2025
- RAUM · $121M to $141MMar 12, 2024 to Mar 26, 2025
- Accounts · 347 to 431Mar 12, 2024 to Mar 26, 2025
- Advisory employees · 2 to 1Mar 12, 2024 to Mar 26, 2025
- HNW clients · 34 to 72Mar 12, 2024 to Mar 26, 2025
- Individual clients · 61 to 38Mar 12, 2024 to Mar 26, 2025
- Employees · 3 to 2Mar 12, 2024 to Mar 26, 2025
- Insurance-licensed employees · 1 to 0Mar 12, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Mar 26, 2025
- State-registered IARs · 2 to 1Mar 12, 2024 to Mar 26, 2025
- Discretionary RAUM · $109M to $133MMar 12, 2024 to Mar 26, 2025
- HNW RAUM · $95.9M to $30.3MMar 12, 2024 to Mar 26, 2025
- Individual RAUM · $25.3M to $111MMar 12, 2024 to Mar 26, 2025
- Accounts · 352 to 347Aug 30, 2023 to Mar 12, 2024
- Business name · B•••••• W••••• A•••••••• L•• to A•••••• W••••• A•••••••Aug 30, 2023 to Mar 12, 2024
- HNW clients · 28 to 34Aug 30, 2023 to Mar 12, 2024
- Individual clients · 65 to 61Aug 30, 2023 to Mar 12, 2024
- Insurance-licensed employees · 2 to 1Aug 30, 2023 to Mar 12, 2024
- Other offices · 1 to 0Aug 30, 2023 to Mar 12, 2024
- Discretionary RAUM · $116M to $109MAug 30, 2023 to Mar 12, 2024
- HNW RAUM · $97.9M to $95.9MAug 30, 2023 to Mar 12, 2024
- Individual RAUM · $33.9M to $25.3MAug 30, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $15.7M to $11.7MAug 30, 2023 to Mar 12, 2024
- RAUM · $132M to $121MAug 30, 2023 to Mar 12, 2024
- Accounts · 365 to 352Sep 12, 2022 to Mar 22, 2023
- Advisory employees · 3 to 2Sep 12, 2022 to Mar 22, 2023
- HNW clients · 36 to 28Sep 12, 2022 to Mar 22, 2023
- Individual clients · 72 to 65Sep 12, 2022 to Mar 22, 2023
- Assets in custody · 12000000.0 to unsetSep 12, 2022 to Mar 22, 2023
- Custody of client assets · true to falseSep 12, 2022 to Mar 22, 2023
Signals
2 dated events
- M••••• F•••••• left A•••••• W••••• A••••••• for 7•• C••••••••• G••••• L•• (registered 2022-06-24)Aug 15, 2022 · Advisor changed firm · fact
- B•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 2019 · 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 email
- info@azzendo.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 954-986-0633reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-648-9814reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/azzendoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- azzendo.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-986-0633reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- azzendo.com/connect-with-usreportedpublished 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026