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
Exeter Financial, LLC
Legal name Alkeme Wealth, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Apr 5, 2007
RAUM
$420M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$415M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$84.0M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$420M as of Mar 31, 2026
Mar 30, 2012$217M then
HNW client RAUM$331M as of Mar 31, 2026
Mar 30, 2018$194M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Apr 1, 20136 then
Employees (5.A)6 as of Mar 31, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+5.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 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
- $84.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $606,332derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$331M79%
- Individuals$83.4M20%
- Charitable organizations$3.8M0.9%
- Pension and profit-sharing plans$1.5M0.3%
- Individual clients
- 40reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 693reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen Leon Harrison | Scottsdale, Az | Apr 5, 2007 | 34 y | 4 |
| Peter Westover Helms | Scottsdale, Az | Apr 5, 2007 | 27 y | 3 |
| Kurt Norman GusindeCertified Financial Planner, Chartered Financial Analyst | Scottsdale, Az | Feb 3, 2009 | 38 y | 0 |
| Christopher Paul KleinCertified Financial Planner, Chartered Financial Analyst | Scottsdale, Az | Jul 31, 2020 | 14 y | 2 |
| Gary Lee Beveridge | Roanoke, Va | May 1, 2024 | 52 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
- Brian Keith Brummell to Wealthspire Retirement AdvisoryJan 18, 2023 · Other
- Paul Christopher Ohanian to Scottsdale Wealth Planning, Inc.Feb 10, 2014 · Other
Joined, latest
- Gary Lee Beveridge from Vicus Capital, Inc.May 1, 2024 · RIA to RIA
- Christopher Paul Klein from Usaa Investment Services CompanyJul 31, 2020 · Other
- Brian Keith Brummell from Nuveen Asset Management, LLCJan 20, 2017 · Other
- Paul Christopher Ohanian from Wealthtrust ArizonaJun 2, 2008 · Other
- Stephen Leon Harrison from Ogilvie Security Advisors CorpApr 5, 2007 · Other
- Peter Westover Helms from Ogilvie Security Advisors CorpApr 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Leon Stephen Harrison · Chief Compliance Officer, Presidentcontrolsince 03/2007 · owns less than 5%
- Curtis Barton · Ceocontrolsince 09/2020 · owns F of Alkeme Intermediary Holdings, LLC
- Michael Boris Gutin · Presidentcontrolsince 09/2020 · owns F of Alkeme Holdings, LLC
- Anton Rosandic · Presidentcontrolsince 09/2020 · owns F of Alkeme Intermediary Holdings, LLC
Entity owners
- Alkeme Intermediary Holdings, LLC · Managing Memberdirect · owns 75% or more
- Alkeme Acquisition, LLC · Sole Memberindirect · owns 75% or more of Alkeme Intermediary Holdings, LLC
- Alkeme Holdings, LLC · Sole Memberindirect · owns 75% or more of Alkeme Acquisition, LLC
Related persons
Schedule D 7.A
- Acw Group LLCreal estaten
- Alkeme Financial Services, LLCreal estaten
- Alkeme Insurance Services, Increal estaten
- Alkinlo, LLCreal estaten
- Atascadero Insurance Agency, LLCreal estaten
- Beveridge & Akers Insurance Group, LLCreal estaten
- Brokkrr Insurance Services, LLCreal estaten
- Cartier Insurance Group LLCreal estaten
- Clariben Holdings, LLCreal estaten
- Daniel Chergey Insurance Agency, LLCreal estaten
- Daugherty Insurance Group, LLCreal estaten
- Dealer Insurance Services, LLCreal estaten
- Erm Insurance Brokers, LLCreal estaten
- F&I Insurance Services, LLCreal estaten
- Flor Insurance Group, LLCreal estaten
- Gallant Risk And Insurance Services, LLCreal estaten
- H & S Insurance Services, LLCreal estaten
- Hardy Insurance Services, LLCreal estaten
- Iig, LLCreal estaten
- Insurance Online.Com Services, LLCreal estaten
- Jb Wright Insurance Services, LLCreal estaten
- Knudsen Insurance Services, LLCreal estaten
- Lincoln Insurance Group LLCreal estaten
- Mark Edward Partners LLCreal estaten
- Milestone Insurance Services, LLCreal estaten
- Mogul Insurance Agency, LLC Dba Mogul Wealth Strategies, LLCreal estaten
- National Automotive Programs, LLCreal estaten
- Pauli-Shaw Insurance Agency, LLCreal estaten
- Peo Exchange, LLCreal estaten
- Robert Bell Insurance Brokers, LLCreal estaten
Advisers that list Exeter Financial, LLC as a related person
- 332434 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ladera Ranch, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Mar 31, 2026related persons on Schedule D 7.A of 34.0 against a peer median of 4.0 (203 comparable advisers, 100.0th percentile, 20.2 robust deviations)peers: independent wealth managers, $100M to $500M (203) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 631 to 693Mar 19, 2025 to Mar 31, 2026
- HNW clients · 43 to 48Mar 19, 2025 to Mar 31, 2026
- Legal name · EXETER FINANCIAL, LLC to ALKEME WEALTH, LLCMar 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $365M to $418MMar 19, 2025 to Mar 31, 2026
- HNW RAUM · $296M to $331MMar 19, 2025 to Mar 31, 2026
- Individual RAUM · $66.1M to $83.4MMar 19, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.5M to $2.2MMar 19, 2025 to Mar 31, 2026
- Pension RAUM · $988,976 to $1.5MMar 19, 2025 to Mar 31, 2026
- RAUM · $366M to $420MMar 19, 2025 to Mar 31, 2026
- Accounts · 587 to 631Nov 18, 2024 to Mar 19, 2025
- HNW clients · 32 to 43Nov 18, 2024 to Mar 19, 2025
- Individual clients · 37 to 40Nov 18, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 101-250Nov 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $333M to $365MNov 18, 2024 to Mar 19, 2025
- HNW RAUM · $266M to $296MNov 18, 2024 to Mar 19, 2025
- Individual RAUM · $65.0M to $66.1MNov 18, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $1.5M to $1.5MNov 18, 2024 to Mar 19, 2025
- Pension RAUM · $938,461 to $988,976Nov 18, 2024 to Mar 19, 2025
- RAUM · $334M to $366MNov 18, 2024 to Mar 19, 2025
- Accounts · 525 to 587Feb 8, 2024 to Mar 20, 2024
- Advisory activities · 6 to 3Feb 8, 2024 to Mar 20, 2024
- HNW clients · 35 to 32Feb 8, 2024 to Mar 20, 2024
- Individual clients · 38 to 37Feb 8, 2024 to Mar 20, 2024
- Pension plan clients · 24.0 to unsetFeb 8, 2024 to Mar 20, 2024
- Discretionary RAUM · $360M to $333MFeb 8, 2024 to Mar 20, 2024
- HNW RAUM · $258M to $266MFeb 8, 2024 to Mar 20, 2024
- Individual RAUM · $40.5M to $65.0MFeb 8, 2024 to Mar 20, 2024
- Non-discretionary RAUM · $2.4M to $1.5MFeb 8, 2024 to Mar 20, 2024
- Pension RAUM · $61.2M to $938,461Feb 8, 2024 to Mar 20, 2024
- RAUM · $362M to $334MFeb 8, 2024 to Mar 20, 2024
- Accounts · 504 to 525Feb 1, 2023 to Mar 8, 2023
- Advisory employees · 5 to 4Feb 1, 2023 to Mar 8, 2023
- Advisory activities · 5 to 6Feb 1, 2023 to Mar 8, 2023
- Employees · 7 to 6Feb 1, 2023 to Mar 8, 2023
- State-registered IARs · 5 to 4Feb 1, 2023 to Mar 8, 2023
- Discretionary RAUM · $374M to $360MFeb 1, 2023 to Mar 8, 2023
- HNW RAUM · $275M to $258MFeb 1, 2023 to Mar 8, 2023
- Individual RAUM · $29.1M to $40.5MFeb 1, 2023 to Mar 8, 2023
- Non-discretionary RAUM · $2.6M to $2.4MFeb 1, 2023 to Mar 8, 2023
- Pension RAUM · $68.8M to $61.2MFeb 1, 2023 to Mar 8, 2023
Signals
15 dated events
- Henry Robert Niehaus (Manager) no longer on Schedule A of Exeter Financial, Llc (listed 2024-05-01, absent 2024-08-28)Aug 28, 2024 · Control person left · inference
- Megvarran Lalsa (Cfo) no longer on Schedule A of Exeter Financial, Llc (listed 2024-02-08, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- Brian Keith Brummell left Exeter Financial, Llc for Wealthspire Retirement Advisory (registered 2022-08-11)Jan 18, 2023 · Advisor changed firm · fact
- Curtis Barton (Ceo) appeared on Schedule A of Exeter Financial, LlcApr 14, 2022 · Control person joined · fact
- Anton Rosandic (Coo) appeared on Schedule A of Exeter Financial, LlcApr 14, 2022 · Control person joined · fact
- Megvarran Lalsa (Cfo) appeared on Schedule A of Exeter Financial, LlcApr 14, 2022 · Control person joined · fact
- Curtis Barton (Ceo) no longer on Schedule A of Exeter Financial, Llc (listed 2021-04-16, absent 2022-01-14)Jan 14, 2022 · Control person left · inference
- Anton Rosandic (Coo) no longer on Schedule A of Exeter Financial, Llc (listed 2021-04-16, absent 2022-01-14)Jan 14, 2022 · Control person left · inference
- Charles Stephen Mathews (Cfo) no longer on Schedule A of Exeter Financial, Llc (listed 2021-04-16, absent 2022-01-14)Jan 14, 2022 · Control person left · inference
- Curtis Barton (Ceo) appeared on Schedule A of Exeter Financial, LlcMar 24, 2021 · Control person joined · fact
- Anton Rosandic (Coo) appeared on Schedule A of Exeter Financial, LlcMar 24, 2021 · Control person joined · fact
- Henry Robert Niehaus (Manager) appeared on Schedule A of Exeter Financial, LlcMar 24, 2021 · Control person joined · fact
- Michael Boris Gutin (President) appeared on Schedule A of Exeter Financial, LlcMar 24, 2021 · Control person joined · fact
- Westover Peter Helms (Co-Managing Member) no longer on Schedule A of Exeter Financial, Llc (listed 2020-06-26, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- Charles Stephen Mathews (Cfo) appeared on Schedule A of Exeter Financial, LlcMar 24, 2021 · Control person joined · 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
- 855-925-5363reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/986768reportedpublic record, Form ADV, Sep 17, 2026
- Website
- EXETERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-588-0830reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- alkemeins.com/contactreportedpublished 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
- $84.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026