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

Wealthtrust Arizona

Former SEC-registered adviserScottsdale, ArizonaCRD 141926SEC 801-67203IAPD
Legal name Wealthtrust Arizona LLC
Latest filing Mar 22, 2018
First filing on the tape Mar 16, 2012 · 18 filings
RAUM
$436M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$434M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$436M as of Mar 22, 2018
Mar 16, 2012$448M then
HNW client RAUM: $318M
State-registered IARs (5.B.3)6 as of Mar 22, 2018
Mar 16, 20120 then
Employees (5.A)9 as of Mar 22, 2018
Mar 22, 201310 then
Private funds: no history
RAUM +6.4% over the last fiscal year+0.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 22, 2018; every figure names its basis
RAUM per advisor
$72.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$336,250derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$318M73%
  • Individuals$117M27%
  • Corporations and businesses$1.4M0.3%
  • Pension and profit-sharing plans$321,4700.1%
Individual clients
242reported
HNW clients
126reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
1,297reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
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
    • Anthony Paul Ahern · Partnercontrol
      since 11/2006 · owns less than 5%
    • Lee Michael Bowen · Partner, Chief Compliance Officercontrol
      since 07/2010 · owns less than 5%
    • Rollins Benjamin Wilson · Partnercontrol
      since 11/2006 · owns less than 5%
    • Anthony Paul Ahern · Membercontrol
      since 10/2003 · owns 75% or more of Capital Sales Stratagies
    • Lee Michael Bowen · Membercontrol
      since 01/2014 · owns 75% or more of Ml Bowen Corp
    • Connor Brent Mcquiston · Membercontrol
      since 01/2014 · owns 75% or more of Bcm Strategies, Inc.
    • Rollins Benjamin Wilson · Membercontrol
      since 10/2003 · owns 75% or more of Brw Marketing & Management
    • Steven Robert Pagliuco · Evp And Treasurer
      since 06/2017 · owns less than 5%
    Entity owners
    • Bcm Strategies, Inc. · Member
      direct · owns 5% to 10%
    • Brw Marketing & Management · Member
      direct · owns 10% to 25%
    • Capital Sales Strategies · Member
      direct · owns 10% to 25%
    • Ml Bowen Corp · Member
      direct · owns 5% to 10%
    • Wt Acquisition, LLC · Owner
      direct · owns 50% to 75%
    • Hightower Holding, LLC · Owner
      indirect · owns 75% or more of Wt Acquisition, LLC
    • Thl Equity Fund Vii Investors (Ht), LLC · Owner
      indirect · owns 50% to 75% of Hightower Holding, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Chandler, AZ5 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,376 to 1,297
      Nov 7, 2017 to Mar 22, 2018
    • Charity clients · unset to 0.0
      Nov 7, 2017 to Mar 22, 2018
    • Corporate clients · unset to 3.0
      Nov 7, 2017 to Mar 22, 2018
    • HNW clients · unset to 126.0
      Nov 7, 2017 to Mar 22, 2018
    • Individual clients · unset to 242.0
      Nov 7, 2017 to Mar 22, 2018
    • Pension plan clients · unset to 1.0
      Nov 7, 2017 to Mar 22, 2018
    • Pooled vehicle clients · unset to 0.0
      Nov 7, 2017 to Mar 22, 2018
    • Discretionary RAUM · $410M to $436M
      Nov 7, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 317898370.0
      Nov 7, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 116542965.0
      Nov 7, 2017 to Mar 22, 2018
    • Pension RAUM · unset to 321470.0
      Nov 7, 2017 to Mar 22, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Nov 7, 2017 to Mar 22, 2018
    • RAUM · $410M to $436M
      Nov 7, 2017 to Mar 22, 2018
    • Employees · 10 to 9
      Jun 29, 2017 to Nov 7, 2017
    • Other offices · unset to 1.0
      Jun 29, 2017 to Nov 7, 2017
    • Accounts · 1,431 to 1,376
      Jun 3, 2016 to Mar 24, 2017
    • Discretionary RAUM · $385M to $410M
      Jun 3, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $4.1M to $0
      Jun 3, 2016 to Mar 24, 2017
    • RAUM · $389M to $410M
      Jun 3, 2016 to Mar 24, 2017
    • Accounts · 1,631 to 1,431
      Oct 15, 2015 to Mar 14, 2016
    • Discretionary RAUM · $424M to $385M
      Oct 15, 2015 to Mar 14, 2016
    • Non-discretionary RAUM · $7.7M to $4.1M
      Oct 15, 2015 to Mar 14, 2016
    • RAUM · $431M to $389M
      Oct 15, 2015 to Mar 14, 2016
    • BD registered reps · 8 to 7
      Jan 29, 2015 to Oct 15, 2015
    • State-registered IARs · 9 to 6
      Jan 29, 2015 to Oct 15, 2015
    • Related broker-dealer · false to true
      Jan 29, 2015 to Oct 15, 2015
    • Accounts · 1,681 to 1,631
      Mar 27, 2014 to Jan 29, 2015
    • Advisory activities · 4 to 5
      Mar 27, 2014 to Jan 29, 2015
    • BD registered reps · 9 to 8
      Mar 27, 2014 to Jan 29, 2015
    • Employees · 11 to 10
      Mar 27, 2014 to Jan 29, 2015
    • Discretionary RAUM · $406M to $424M
      Mar 27, 2014 to Jan 29, 2015
    • Non-discretionary RAUM · $6.8M to $7.7M
      Mar 27, 2014 to Jan 29, 2015
    • RAUM · $413M to $431M
      Mar 27, 2014 to Jan 29, 2015
    • Accounts · 2,022 to 1,681
      Mar 22, 2013 to Mar 27, 2014
    • Advisory activities · 5 to 4
      Mar 22, 2013 to Mar 27, 2014
    • BD registered reps · 8 to 9
      Mar 22, 2013 to Mar 27, 2014
    • Employees · 10 to 11
      Mar 22, 2013 to Mar 27, 2014
    • State-registered IARs · 8 to 9
      Mar 22, 2013 to Mar 27, 2014
    • Discretionary RAUM · $388M to $406M
      Mar 22, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $6.5M to $6.8M
      Mar 22, 2013 to Mar 27, 2014
    Signals
    No event on the tape.
    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