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
B•••••• A•••• M••••••••• L••
Latest filing Apr 14, 2026
First filing on the tape Apr 30, 2021 · 11 filings
SEC status approved since May 28, 2021
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$31.5M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$189M as of Apr 14, 2026
Feb 22, 2022$135M then
HNW client RAUM$73.9M as of Apr 14, 2026
Feb 22, 2022$38.3M then
State-registered IARs (5.B.3)5 as of Apr 14, 2026
Feb 22, 20225 then
Employees (5.A)5 as of Apr 14, 2026
Feb 22, 20225 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $31.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $274,697derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $28.2M, 102 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
- Individuals$115M61%
- High-net-worth individuals$73.9M39%
- Individual clients
- 294reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 688reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.2M for 102 clientsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J••• S•••• | Phoenix, Az | Sep 17, 2008 | 21 y | 0 |
| R••• L•• H•••• | Phoenix, Az | Oct 15, 2008 | 17 y | 0 |
| P••• S•••••• K••••• | Phoenix, Az | Oct 24, 2014 | 37 y | 0 |
| F•••• R••• J••••••Certified Financial Planner | Phoenix, Az | Nov 30, 2015 | 10 y | 0 |
| K••••• J• K••••• | Phoenix, Az | Jul 17, 2024 | 14 y | 0 |
| L••• G•••••• B••••• | Phoenix, Az | Aug 20, 2026 | 13 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• F••••• R••• · Manager, Chief Compliance Officercontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 666 to 688Aug 29, 2025 to Feb 25, 2026
- Individual clients · 245 to 294Aug 29, 2025 to Feb 25, 2026
- Assets in custody · $27.3M to $28.2MAug 29, 2025 to Feb 25, 2026
- Discretionary RAUM · $170M to $189MAug 29, 2025 to Feb 25, 2026
- HNW RAUM · $67.3M to $73.9MAug 29, 2025 to Feb 25, 2026
- Individual RAUM · $103M to $115MAug 29, 2025 to Feb 25, 2026
- RAUM · $170M to $189MAug 29, 2025 to Feb 25, 2026
- Assets in custody · unset to 27262274.0Feb 11, 2025 to Aug 29, 2025
- Custody of client assets · false to trueFeb 11, 2025 to Aug 29, 2025
- Financial planning clients · 0 to 0Feb 11, 2025 to Aug 29, 2025
- Accounts · 641 to 666Oct 18, 2024 to Feb 11, 2025
- Advisory employees · 4 to 5Oct 18, 2024 to Feb 11, 2025
- HNW clients · 32 to 47Oct 18, 2024 to Feb 11, 2025
- Individual clients · 252 to 245Oct 18, 2024 to Feb 11, 2025
- Employees · 4 to 5Oct 18, 2024 to Feb 11, 2025
- State-registered IARs · 4 to 5Oct 18, 2024 to Feb 11, 2025
- Discretionary RAUM · $147M to $170MOct 18, 2024 to Feb 11, 2025
- HNW RAUM · $45.0M to $67.3MOct 18, 2024 to Feb 11, 2025
- Individual RAUM · $102M to $103MOct 18, 2024 to Feb 11, 2025
- RAUM · $147M to $170MOct 18, 2024 to Feb 11, 2025
- Accounts · 610 to 641Feb 10, 2023 to Feb 6, 2024
- HNW clients · 26 to 32Feb 10, 2023 to Feb 6, 2024
- Individual clients · 251 to 252Feb 10, 2023 to Feb 6, 2024
- Discretionary RAUM · $125M to $147MFeb 10, 2023 to Feb 6, 2024
- HNW RAUM · $33.2M to $45.0MFeb 10, 2023 to Feb 6, 2024
- Individual RAUM · $91.5M to $102MFeb 10, 2023 to Feb 6, 2024
- RAUM · $125M to $147MFeb 10, 2023 to Feb 6, 2024
- Accounts · 600 to 610Feb 23, 2022 to Feb 10, 2023
- Advisory employees · 5 to 4Feb 23, 2022 to Feb 10, 2023
- HNW clients · 41 to 26Feb 23, 2022 to Feb 10, 2023
- Individual clients · 289 to 251Feb 23, 2022 to Feb 10, 2023
- Employees · 5 to 4Feb 23, 2022 to Feb 10, 2023
- State-registered IARs · 5 to 4Feb 23, 2022 to Feb 10, 2023
- Other offices · 1 to 0Feb 23, 2022 to Feb 10, 2023
- Discretionary RAUM · $134M to $125MFeb 23, 2022 to Feb 10, 2023
- HNW RAUM · $38.3M to $33.2MFeb 23, 2022 to Feb 10, 2023
- Individual RAUM · $97.0M to $91.5MFeb 23, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $1.5M to $0Feb 23, 2022 to Feb 10, 2023
- RAUM · $135M to $125MFeb 23, 2022 to Feb 10, 2023
- Accounts · 581 to 600Jun 4, 2021 to Feb 22, 2022
Signals
1 dated events
- B•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2021 · 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
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 602-595-2324reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••••LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 602-595-2324reportedpublic record, Form ADV, Apr 14, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- b•••••••••.comreportedpublished 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
- $31.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026