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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Former SEC-registered adviser

F•••••••• F•••••••• P••••••• • W••••• M••••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 147270SEC 801-122546IAPD
Latest filing May 11, 2023
First filing on the tape Sep 23, 2021 · 8 filings
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$128M as of Mar 15, 2023
Mar 18, 2022$125M then
HNW client RAUM$64.5M as of Mar 15, 2023
Mar 18, 2022$89.9M then
State-registered IARs (5.B.3)2 as of Mar 15, 2023
Mar 18, 20222 then
Employees (5.A)3 as of Mar 15, 2023
Mar 18, 20223 then
Private funds: no history
RAUM +2.5% over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of May 11, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$302,800derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$64.5M50%
  • Individuals$63.9M50%
Individual clients
99reported
HNW clients
33reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
424reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••••••• K••••• P• •• O•••• · M•••Ging Member & Chief Compliance Officercontrol
      since 02/2008 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Phoenix, Az · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 0
      Apr 27, 2023 to May 11, 2023
    • Employees · 2 to 1
      Apr 27, 2023 to May 11, 2023
    • State-registered IARs · 1 to 0
      Apr 27, 2023 to May 11, 2023
    • Advisory employees · 2 to 1
      Mar 15, 2023 to Apr 27, 2023
    • Employees · 3 to 2
      Mar 15, 2023 to Apr 27, 2023
    • State-registered IARs · 2 to 1
      Mar 15, 2023 to Apr 27, 2023
    • Accounts · 373 to 424
      Mar 18, 2022 to Mar 15, 2023
    • Charity clients · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • Corporate clients · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • HNW clients · 51 to 33
      Mar 18, 2022 to Mar 15, 2023
    • Individual clients · 69 to 99
      Mar 18, 2022 to Mar 15, 2023
    • Pension plan clients · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • Pooled vehicle clients · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • Discretionary RAUM · $125M to $128M
      Mar 18, 2022 to Mar 15, 2023
    • HNW RAUM · $89.9M to $64.5M
      Mar 18, 2022 to Mar 15, 2023
    • Individual RAUM · $35.3M to $63.9M
      Mar 18, 2022 to Mar 15, 2023
    • Pension RAUM · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • Pooled vehicle RAUM · unset to 0.0
      Mar 18, 2022 to Mar 15, 2023
    • RAUM · $125M to $128M
      Mar 18, 2022 to Mar 15, 2023
    • Accounts · 348 to 373
      Nov 24, 2021 to Mar 18, 2022
    • HNW clients · 35 to 51
      Nov 24, 2021 to Mar 18, 2022
    • Individual clients · 80 to 69
      Nov 24, 2021 to Mar 18, 2022
    • Discretionary RAUM · $116M to $125M
      Nov 24, 2021 to Mar 18, 2022
    • HNW RAUM · $71.2M to $89.9M
      Nov 24, 2021 to Mar 18, 2022
    • Individual RAUM · $44.6M to $35.3M
      Nov 24, 2021 to Mar 18, 2022
    • RAUM · $116M to $125M
      Nov 24, 2021 to Mar 18, 2022
    Signals
    4 dated events
    • K•••• P• •• O•••• O•••••• left F•••••••• F•••••••• P••••••• • W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2023-11-06)
      Oct 23, 2023 · Advisor changed firm · fact
    • J•••• L••• G••••••• left F•••••••• F•••••••• P••••••• • W••••• M••••••••• L•• for M••• F•••••••• L••• D••••• (registered 2023-06-16)
      May 11, 2023 · Advisor changed firm · fact
    • T•••••• A••• C•••••••• left F•••••••• F•••••••• P••••••• • W••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2023-05-17)
      Apr 27, 2023 · Advisor changed firm · fact
    • F•••••••• F•••••••• P••••••• • W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 23, 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.
    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