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

Copperwynd Financial

Former SEC-registered adviserScottsdale, ArizonaCRD 143442SEC 801-67763websiteIAPD
Legal name Copperwynd Financial, LLC
Latest filing Mar 7, 2025
First filing on the tape Feb 9, 2012 · 45 filings
SEC status approved since Apr 13, 2007
RAUM
$720M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$720M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$720M as of Mar 7, 2025
Feb 9, 2012$91.5M then
HNW client RAUM$559M as of Mar 7, 2025
Feb 13, 2018$179M then
State-registered IARs (5.B.3)8 as of Mar 7, 2025
Jan 3, 20132 then
Employees (5.A)11 as of Mar 7, 2025
Jan 3, 20134 then
Private funds: no history
RAUM +36% over the last fiscal year+12% a year over threeIARs 6 to 8offices 0 to 1
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
RAUM per advisor
$90.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$334,921derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+36%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
Wrap fee program
$57.3MreportedItem 5.I
Custody
$382M, 898 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$559M78%
  • Individuals$161M22%
Individual clients
395reported
HNW clients
199reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,150reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$382M for 898 clientsreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 2 left for Lido
    Jul 25, 2025 · Scottsdale, Az
  • 5 left for Lido
    Jun 16, 2025 · Scottsdale, Az · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Blane David Daughtrey · Managing Membercontrol
      since 03/2007 · owns 50% to 75%
    • Scot Erick Newton · Member & Chief Compliance Officercontrol
      since 01/2015 · owns 10% to 25%
    • O Jacob Eggett · Member
      since 01/2019 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Scottsdale, Az · principal000
    South Jordan, Ut000
    Offices
    Schedule D 1.F, the 25 largest
    • South Jordan, UT2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,938 to 2,150
      Feb 4, 2025 to Mar 7, 2025
    • HNW clients · 318 to 199
      Feb 4, 2025 to Mar 7, 2025
    • Individual clients · 188 to 395
      Feb 4, 2025 to Mar 7, 2025
    • Pension plan clients · 9.0 to unset
      Feb 4, 2025 to Mar 7, 2025
    • Assets in custody · $267M to $382M
      Feb 4, 2025 to Mar 7, 2025
    • Employees · 9 to 11
      Feb 4, 2025 to Mar 7, 2025
    • State-registered IARs · 6 to 8
      Feb 4, 2025 to Mar 7, 2025
    • Discretionary RAUM · $531M to $720M
      Feb 4, 2025 to Mar 7, 2025
    • HNW RAUM · $103M to $559M
      Feb 4, 2025 to Mar 7, 2025
    • Individual RAUM · $426M to $161M
      Feb 4, 2025 to Mar 7, 2025
    • RAUM · $531M to $720M
      Feb 4, 2025 to Mar 7, 2025
    • Other offices · 0 to 1
      Jun 10, 2024 to Jun 13, 2024
    • Accounts · 1,930 to 1,938
      Jan 2, 2024 to Feb 29, 2024
    • Advisory activities · 5 to 4
      Jan 2, 2024 to Feb 29, 2024
    • HNW clients · 198 to 318
      Jan 2, 2024 to Feb 29, 2024
    • Individual clients · 313 to 188
      Jan 2, 2024 to Feb 29, 2024
    • Assets in custody · $383M to $267M
      Jan 2, 2024 to Feb 29, 2024
    • Employees · 10 to 9
      Jan 2, 2024 to Feb 29, 2024
    • Financial planning clients · 0 to unset
      Jan 2, 2024 to Feb 29, 2024
    • State-registered IARs · 7 to 6
      Jan 2, 2024 to Feb 29, 2024
    • Discretionary RAUM · $459M to $531M
      Jan 2, 2024 to Feb 29, 2024
    • HNW RAUM · $368M to $103M
      Jan 2, 2024 to Feb 29, 2024
    • Individual RAUM · $81.3M to $426M
      Jan 2, 2024 to Feb 29, 2024
    • Pension RAUM · 8257872.0 to unset
      Jan 2, 2024 to Feb 29, 2024
    • RAUM · $459M to $531M
      Jan 2, 2024 to Feb 29, 2024
    • Accounts · 1,861 to 1,930
      Jun 22, 2022 to Feb 17, 2023
    • Advisory employees · 4 to 5
      Jun 22, 2022 to Feb 17, 2023
    • Advisory activities · 3 to 5
      Jun 22, 2022 to Feb 17, 2023
    • HNW clients · 192 to 198
      Jun 22, 2022 to Feb 17, 2023
    • Individual clients · 302 to 313
      Jun 22, 2022 to Feb 17, 2023
    • Pension plan clients · unset to 9.0
      Jun 22, 2022 to Feb 17, 2023
    • Assets in custody · $410M to $383M
      Jun 22, 2022 to Feb 17, 2023
    • Financial planning clients · unset to 0
      Jun 22, 2022 to Feb 17, 2023
    • Discretionary RAUM · $510M to $459M
      Jun 22, 2022 to Feb 17, 2023
    • HNW RAUM · $417M to $368M
      Jun 22, 2022 to Feb 17, 2023
    • Individual RAUM · $91.7M to $81.3M
      Jun 22, 2022 to Feb 17, 2023
    • Pension RAUM · $71,055 to $8.3M
      Jun 22, 2022 to Feb 17, 2023
    • RAUM · $510M to $459M
      Jun 22, 2022 to Feb 17, 2023
    • Accounts · 1,742 to 1,861
      Mar 17, 2021 to Mar 2, 2022
    • HNW clients · 180 to 192
      Mar 17, 2021 to Mar 2, 2022
    Signals
    14 dated events
    • Copperwynd Financial no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $720.1M)
      Aug 1, 2025 · Left the SEC roster · derived
    • David Blane Daughtrey left Copperwynd Financial for Lido (registered 2025-06-13)
      Jul 25, 2025 · Advisor changed firm · fact
    • Deborah Kerr left Copperwynd Financial for Lido (registered 2025-06-16)
      Jul 25, 2025 · Advisor changed firm · fact
    • 2 advisors left Copperwynd Financial (Scottsdale, AZ) for Lido on the same day
      Jul 25, 2025 · Team lift-out · derived
    • Erick Scot Newton left Copperwynd Financial for Lido (registered 2025-06-13)
      Jun 16, 2025 · Advisor changed firm · fact
    • Corrina Elizabeth Olson left Copperwynd Financial for Lido (registered 2025-06-13)
      Jun 16, 2025 · Advisor changed firm · fact
    • Javier Jimenez left Copperwynd Financial for Lido (registered 2025-06-13)
      Jun 16, 2025 · Advisor changed firm · fact
    • Aaron Lawrence Love left Copperwynd Financial for Lido (registered 2025-06-17)
      Jun 16, 2025 · Advisor changed firm · fact
    • Myra K Alport left Copperwynd Financial for Lido (registered 2025-06-13)
      Jun 16, 2025 · Advisor changed firm · fact
    • Jacob O Eggett left Copperwynd Financial for Lido (registered 2025-06-13)
      Jun 16, 2025 · Advisor changed firm · fact
    • Copperwynd Financial's advisors moved to Lido (Scottsdale, AZ): 5 of 8 registered, on the same day
      Jun 16, 2025 · Firm absorbed (people side) · derived
    • Copperwynd Financial reported RAUM $720.1M, up 36% from $530.6M (2025-02-04 to 2025-03-07)
      Mar 7, 2025 · RAUM change · derived
    • Krantz Lynda Elley (Managing Member) no longer on Schedule A of Copperwynd Financial (listed 2023-02-17, absent 2023-06-05)
      Jun 5, 2023 · Control person left · inference
    • Amy Clingenpeel Diamond left Copperwynd Financial for Narus Financial Partners, Llc (registered 2022-06-02)
      May 10, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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