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

Secure Investment Management, LLC

Independent wealth managerTucson, ArizonaCRD 141195SEC 801-80752websiteIAPD
Latest filing Aug 14, 2026
First filing on the tape Dec 12, 2014 · 53 filings
SEC status approved since Jan 8, 2015
RAUM
$42.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.9M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$2.0M
derived; firm RAUM over IAPD count
Employees
31
20 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$42.9M as of Aug 14, 2026
Mar 31, 2015$80.6M then
HNW client RAUM$5.5M as of Aug 14, 2026
Mar 29, 2018$3.3M then
State-registered IARs (5.B.3)5 as of Aug 14, 2026
Mar 31, 201518 then
Employees (5.A)31 as of Aug 14, 2026
Mar 31, 201518 then
Private funds: no history
RAUM +12% over the last fiscal year+5.3% a year over threeIARs 12 to 5offices 0 to 4
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$2.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$45,551derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-58%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$37.4M87%
  • High-net-worth individuals$5.5M13%
Individual clients
938reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
942reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
21 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joshua David MellbergTucson, AzAug 23, 200622 y0
John Timothy KeefeChartered Financial AnalystTucson, AzNov 2, 202233 y4
Jared Loyd KeatingCertified Financial PlannerTucson, AzMar 29, 202314 y1
Sam Michael BeckworthClovis, Ca Oct 31, 202428 y1
Jimmy DiepSan Jose, Ca May 23, 202514 y6
Janice Marie PowellTucson, AzJun 17, 202517 y10
Clark David DearmondTucson, Az Jul 2, 202526 y6
Loy Douglas HoltTucson, Az Jul 14, 202533 y5
Jon Lewis BowlesWoodland Hills, Ca Jul 14, 202529 y8
Dianne ShumwayTucson, Az Jul 15, 202523 y2
Mark Angelo Palanca MesinaTucson, Az Oct 9, 202513 y0
Michael S ParkinTucson, Az Oct 10, 202521 y0
Anthony SmithCertified Financial PlannerTucson, Az Nov 17, 202512 y4
Aridai LopezTucson, Az Jan 6, 202611 y3
Scott William BlaneyCertified Financial PlannerSan Clemente, Ca Jan 20, 202626 y7
Bruce Roy MooreLong Beach, Ny May 26, 202611 y1
Shkira SinghGranada Hills, Ca Jun 11, 202625 y7
Michael Dean HerzogTucson, Az Jun 30, 202613 y2
Michael OconitrilloTucson, Az Jul 9, 202616 y1
Mohsen ReyesTucson, Az Jul 21, 202611 y2
Jeremy Wayne RabalaisTucson, AzAug 24, 202620 y3
Advisor movement
8 left, 8 joined in 12 months
net 0 in 12 months3 left in 90 days4 joined in 90 daysdeparture rate 38% of current headcount22 left over 36 months
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
  • David Joshua Mellberg · Managing Member/Ownercontrol
    since 06/2006 · owns 75% or more
  • Ramon Otto Bohon · Chief Operating Officer
    since 08/2021 · owns less than 5%
  • David Matthew Rothchild · Chief Compliance Officer
    since 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
  • Insurance Marketing Solutions, LLC
    real estaten
  • Joshua David Mellberg, LLC
    real estaten
  • Retirement Income, LLC
    real estaten
  • Secure Income Management, LLC
    real estaten
  • Ursus Financial Group, LLC
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Tucson, Az · principal21114
Roseville, Ca100
Los Angeles, Ca000
San Diego, Ca002
San Francisco, Ca000
Santa Barbara, Ca001
Van Nuys, Ca000
Coachella, Ca001
Eastvale, Ca000
Torrance, Ca000
Cathedral City, Ca000
Temecula, Ca000
Huntington Beach, Ca000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • advisor count dropChange between filings · filing Apr 16, 2026
    advisory representatives (Item 5.B.3) moved from 12.0 to 5.0 (-58.0%) between the annual amendments of 2025-03-31 and 2026-04-16; the peer median change was 0.0% (57 comparable advisers, 5.0th percentile of changes)
    peers: independent wealth managers, under $100M (57) · 5.4% percentile
  • employee count surgeChange between filings · filing Apr 16, 2026
    employees (Item 5.A) moved from 12.0 to 31.0 (+158.0%) between the annual amendments of 2025-03-31 and 2026-04-16; the peer median change was 0.0% (57 comparable advisers, 100.0th percentile of changes)
    peers: independent wealth managers, under $100M (57) · 100% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 825 to 942
    Mar 2, 2026 to Apr 16, 2026
  • Advisory employees · 12 to 20
    Mar 2, 2026 to Apr 16, 2026
  • Advisory activities · 3 to 2
    Mar 2, 2026 to Apr 16, 2026
  • HNW clients · 2 to 4
    Mar 2, 2026 to Apr 16, 2026
  • Individual clients · 823 to 938
    Mar 2, 2026 to Apr 16, 2026
  • Employees · 12 to 31
    Mar 2, 2026 to Apr 16, 2026
  • State-registered IARs · 12 to 5
    Mar 2, 2026 to Apr 16, 2026
  • Other offices · 0 to 4
    Mar 2, 2026 to Apr 16, 2026
  • Discretionary RAUM · $38.3M to $42.9M
    Mar 2, 2026 to Apr 16, 2026
  • HNW RAUM · $1.2M to $5.5M
    Mar 2, 2026 to Apr 16, 2026
  • Individual RAUM · $37.1M to $37.4M
    Mar 2, 2026 to Apr 16, 2026
  • RAUM · $38.3M to $42.9M
    Mar 2, 2026 to Apr 16, 2026
  • Related adviser · false to true
    Jun 16, 2025 to Mar 2, 2026
  • Financial planning clients · 1-10 to 1-10
    Mar 31, 2025 to Jun 16, 2025
  • Accounts · 614 to 825
    Mar 20, 2024 to Mar 31, 2025
  • Corporate clients · 1.0 to unset
    Mar 20, 2024 to Mar 31, 2025
  • Individual clients · 426 to 823
    Mar 20, 2024 to Mar 31, 2025
  • Pension plan clients · 1.0 to unset
    Mar 20, 2024 to Mar 31, 2025
  • Financial planning clients · 0 to 1-10
    Mar 20, 2024 to Mar 31, 2025
  • Discretionary RAUM · $32.4M to $38.3M
    Mar 20, 2024 to Mar 31, 2025
  • HNW RAUM · $2.5M to $1.2M
    Mar 20, 2024 to Mar 31, 2025
  • Individual RAUM · $29.0M to $37.1M
    Mar 20, 2024 to Mar 31, 2025
  • Pension RAUM · 900000.0 to unset
    Mar 20, 2024 to Mar 31, 2025
  • RAUM · $32.4M to $38.3M
    Mar 20, 2024 to Mar 31, 2025
  • Accounts · 659 to 614
    Nov 6, 2023 to Mar 20, 2024
  • Advisory activities · 2 to 3
    Nov 6, 2023 to Mar 20, 2024
  • Corporate clients · unset to 1.0
    Nov 6, 2023 to Mar 20, 2024
  • HNW clients · unset to 2.0
    Nov 6, 2023 to Mar 20, 2024
  • Individual clients · 498 to 426
    Nov 6, 2023 to Mar 20, 2024
  • Pension plan clients · unset to 1.0
    Nov 6, 2023 to Mar 20, 2024
  • Discretionary RAUM · $36.7M to $32.4M
    Nov 6, 2023 to Mar 20, 2024
  • HNW RAUM · unset to 2500000.0
    Nov 6, 2023 to Mar 20, 2024
  • Individual RAUM · $36.7M to $29.0M
    Nov 6, 2023 to Mar 20, 2024
  • Pension RAUM · unset to 900000.0
    Nov 6, 2023 to Mar 20, 2024
  • RAUM · $36.7M to $32.4M
    Nov 6, 2023 to Mar 20, 2024
  • Accounts · 974 to 659
    Sep 8, 2021 to Mar 31, 2022
  • Advisory employees · 20 to 12
    Sep 8, 2021 to Mar 31, 2022
  • Advisory activities · 4 to 2
    Sep 8, 2021 to Mar 31, 2022
  • Individual clients · 970 to 498
    Sep 8, 2021 to Mar 31, 2022
  • Assets in custody · 610336.0 to unset
    Sep 8, 2021 to Mar 31, 2022
Signals
31 dated events
  • Edward Joseph Macphee left Secure Investment Management, Llc for Gallagher Fiduciary Advisors, Llc (registered 2026-07-21)
    Aug 14, 2026 · Advisor changed firm · fact
  • Stephen Quentin Glenn Mehr left Secure Investment Management, Llc for Forthright Capital (registered 2026-07-20)
    Jun 25, 2026 · Advisor changed firm · fact
  • James Ruwe left Secure Investment Management, Llc for Modern Wealth Management, Llc (registered 2026-08-05)
    Jun 1, 2026 · Advisor changed firm · fact
  • Mitchell Monson left Secure Investment Management, Llc for Tlg Advisors, Inc. (registered 2026-05-01)
    Apr 10, 2026 · Advisor changed firm · fact
  • Abhimanyu Vinayek left Secure Investment Management, Llc for Transamerica Financial Advisors, Llc (registered 2026-03-13)
    Mar 4, 2026 · Advisor changed firm · fact
  • Eduardo Margarito Martinez left Secure Investment Management, Llc for Forefront (registered 2026-09-03)
    Feb 23, 2026 · Advisor changed firm · fact
  • Eric N Schoonover left Secure Investment Management, Llc for Altitude Capital Management Llc (registered 2026-06-24)
    Dec 8, 2025 · Advisor changed firm · fact
  • Enrique Francia left Secure Investment Management, Llc for State Farm Investment Management Corp. (registered 2025-12-09)
    Aug 26, 2025 · Advisor changed firm · fact
  • Jack Edward Schulte left Secure Investment Management, Llc for Equitable Advisors, Llc (registered 2026-04-16)
    Aug 12, 2025 · Advisor changed firm · fact
  • Julian Carter Driver left Secure Investment Management, Llc for Gwn Securities Inc. (registered 2026-01-26)
    Jul 11, 2025 · Advisor changed firm · fact
  • Guillermo Alberto Silesky left Secure Investment Management, Llc for Simplicity Wealth (registered 2025-09-10)
    Jun 20, 2025 · Advisor changed firm · fact
  • Rebecca Cross left Secure Investment Management, Llc for Api Financial Advisors, Llc (registered 2026-01-01)
    Jun 16, 2025 · Advisor changed firm · fact
  • Tyler David Shumaker left Secure Investment Management, Llc for Centaurus Financial, Inc. (registered 2025-05-05)
    Apr 22, 2025 · Advisor changed firm · fact
  • Turill Anthony Engelman left Secure Investment Management, Llc for Lpl Enterprise, Llc (registered 2024-11-29)
    Apr 22, 2025 · Advisor changed firm · fact
  • Angelica Roxas left Secure Investment Management, Llc for Brookwood Investment Group (registered 2026-03-25)
    Apr 22, 2025 · Advisor changed firm · fact
  • Spencer Schreiber Miller left Secure Investment Management, Llc for Esi Financial Advisors (registered 2025-06-05)
    Apr 14, 2025 · Advisor changed firm · fact
  • Jason Purvis left Secure Investment Management, Llc for Ae Wealth Management, Llc (registered 2025-03-20)
    Mar 5, 2025 · Advisor changed firm · fact
  • Fernan E Lopez left Secure Investment Management, Llc for Fidelity Personal And Workplace Advisors (registered 2024-12-04)
    Sep 13, 2024 · Advisor changed firm · fact
  • Ryan Andrew Berkowitz left Secure Investment Management, Llc for Forthright Capital (registered 2024-04-29)
    Jul 5, 2024 · Advisor changed firm · fact
  • Yvette Spillman left Secure Investment Management, Llc for Gradient Advisors, Llc (registered 2024-05-23)
    Mar 14, 2024 · Advisor changed firm · fact
  • Kelley Eugene Velasquez left Secure Investment Management, Llc for Brookstone Capital Management Llc (registered 2023-04-18)
    Nov 6, 2023 · Advisor changed firm · fact
  • Mario P Dela Cerna left Secure Investment Management, Llc for Brookstone Capital Management Llc (registered 2023-10-10)
    Sep 15, 2023 · Advisor changed firm · fact
  • Roman Lara left Secure Investment Management, Llc for Allstate Financial Advisors, Llc (registered 2024-07-19)
    Aug 2, 2023 · Advisor changed firm · fact
  • Bart Andrew Newman left Secure Investment Management, Llc for Iams Wealth Management, Llc (registered 2022-10-13)
    Sep 15, 2022 · Advisor changed firm · fact
  • John Timothy Keefe left Secure Investment Management, Llc for Brookstone Capital Management Llc (registered 2020-05-28)
    Jul 27, 2022 · Advisor changed firm · fact
  • Secure Investment Management, Llc reported 0 offices beyond its principal office, down from 17 (2021-09-08 to 2022-03-31)
    Mar 31, 2022 · Office count change · derived
  • Secure Investment Management, Llc reported 20 state-registered advisory representatives, up from 10 (2020-06-25 to 2021-03-29)
    Mar 29, 2021 · Advisor headcount change · derived
  • Secure Investment Management, Llc reported 17 offices beyond its principal office, up from 11 (2020-06-25 to 2021-03-29)
    Mar 29, 2021 · Office count change · derived
  • Secure Investment Management, Llc reported 11 offices beyond its principal office, down from 38 (2019-06-10 to 2020-03-28)
    Mar 28, 2020 · Office count change · derived
  • Secure Investment Management, Llc reported 10 state-registered advisory representatives, down from 55 (2018-07-25 to 2019-03-29)
    Mar 29, 2019 · Advisor headcount change · derived
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
Website
securehorizonfinancialplanning.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
520-333-4719reportedpublic record, Form ADV, Aug 14, 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
$2.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026