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
A•• W••••• A•••••••• L••
Latest filing Aug 19, 2026
First filing on the tape May 9, 2014 · 75 filings
SEC status approved since Mar 7, 2016
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.2B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$86.6M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$1.2B as of Aug 19, 2026
Feb 7, 2017$141M then
HNW client RAUM$1.0B as of Aug 19, 2026
Jan 5, 2018$100M then
State-registered IARs (5.B.3)14 as of Aug 19, 2026
Feb 7, 20175 then
Employees (5.A)18 as of Aug 19, 2026
Feb 7, 20177 then
Private funds: no history
RAUM +108% over the last fiscal year+45% a year over threeIARs 8 to 14offices 1 to 0
Practice profile
derived from the filing of Aug 19, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $80.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $569,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +91%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $739M, 1,070 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$1.0B86%
- Individuals$148M12%
- Corporations and businesses$12.0M1.0%
- Pension and profit-sharing plans$2.9M0.2%
- Individual clients
- 278reported
- HNW clients
- 319reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 2,131reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $739M for 1,070 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• N••••• R••••••• | Scottsdale, Az | Oct 20, 2014 | 12 y | 1 |
| J••••• C••••••••• G••••••• | Scottsdale, Az | Aug 28, 2019 | 31 y | 2 |
| T•••••• T••••• S•••••••Certified Financial Planner | Scottsdale, Az | Sep 12, 2023 | 11 y | 0 |
| W•••••• H••••••• L••• | Scottsdale, Az | Jan 19, 2024 | 12 y | 1 |
| C••• S••••• M••••••Certified Financial Planner, Chartered Financial Consultant | Scottsdale, Az | Sep 27, 2024 | 17 y | 1 |
| R•••••• A••• S•••••Certified Financial Planner | Scottsdale, Az | Feb 20, 2025 | 29 y | 1 |
| Z•••••• K••••• P•••••Certified Financial Planner | Scottsdale, Az | May 19, 2025 | 13 y | 1 |
| C•••• M•••• D••••• | Scottsdale, Az 85260, Az | May 19, 2025 | 11 y | 1 |
| W•••••• D•••••• L••Certified Financial Planner, Chartered Financial Analyst | Scottsdale, Az | Jun 27, 2025 | 22 y | 3 |
| T•••• R•••••• | Scottsdale, Az | Nov 3, 2025 | 25 y | 1 |
| J•••• R••• R•••••• | Scottsdale, Az | Apr 19, 2026 | 11 y | 0 |
| J•••••• E••••• S••••••Chartered Financial Analyst | Scottsdale, Az | Apr 19, 2026 | 27 y | 2 |
| R•••••• G••• W•••••Certified Financial Planner | Scottsdale, Az | May 29, 2026 | 13 y | 1 |
| M•••••• J•••• D•••Chartered Financial Analyst | Hudson , Oh | Aug 14, 2026 | 16 y | 3 |
| J••• R••••• C••••• | Scottsdale, Az | Sep 16, 2026 | 22 y | 0 |
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 7.1% of current headcount4 left over 36 months
Left, latest
- G•••••• C•••••••• Y•••• to Y•••• W•••••Aug 12, 2026 · RIA to a state-registered adviser
- B•••••• M••••••• W•••• to C••••••• P•••••••• I•••May 8, 2025 · RIA to RIA
- J••••• R••••• to L••••• F•••••••• G••••• L••Dec 26, 2024 · RIA to affiliated broker-dealer or bank
- S••••• J••••• C•••••••• to C•••••••• F•••••••• M•••••••••Oct 11, 2024 · RIA to a state-registered adviser
- A•••••• D••• R••••••• to R••••••• W••••• A••••••• L••Mar 10, 2017 · Other
- J•••• R••••• L•••• to X••• S•••••••Mar 3, 2017 · Other
Joined, latest
- M•••••• J•••• D••• from S•••••• W••••• P•••••••• L••Aug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• G••• W••••• from C•••••••• C•••••• P•••••••• L••May 29, 2026 · Other
- J•••••• E••••• S•••••• from C•••••••• C•••••• P•••••••• L••Apr 19, 2026 · Other
- T•••• R•••••• from J••• M••••• S••••••••• L••Nov 3, 2025 · Wirehouse to independent RIA
- W•••••• D•••••• L•• from C•••••••• C•••••• P•••••••• L••Jun 27, 2025 · RIA to RIA
- Z•••••• K••••• P••••• from V••••••• A•••••••• I•••May 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••• M•••• D••••• from V••••••• A•••••••• I•••May 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- R•••••• A••• S••••• from V••••••• A•••••••• I•••Feb 20, 2025 · Other
- C••• S••••• M•••••• from T••••••• I••••••••• M••••••••• I•••Sep 27, 2024 · Other
- J••••• R••••• from M••••• F••• W••••• M••••••••• L••Mar 1, 2024 · RIA to RIA
- W•••••• H••••••• L••• from U••• B•••••• I••••••••• I•••Jan 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••••• M••••••• W•••• from E•••••• A••••••• G••••• L••Aug 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• C••••••••• G••••••• from J••• M••••• S••••••••• L••Aug 28, 2019 · Wirehouse to independent RIA
- S••••• J••••• C•••••••• from L•• F•••••••• L••Feb 27, 2019 · RIA to RIA
- J•••• R••••• L•••• from V••••••• A•••••••• I•••Apr 4, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• M••••••• J•••• · Ccocontrolsince 06/2026 · owns less than 5%
- L••• W••••••• D•••••• · Membercontrolsince 06/2025 · owns less than 5%
- R•••••••• J••••• N••••• · Member Strategic P•••••••controlsince 01/2015 · owns 25% to 50%
- S•••••• R••••••• A••• · Managing Membercontrolsince 05/2008 · owns 50% to 75%
- Y••••• G••••••• C•••••••• · Managing Member / Chief Compliance Officercontrolsince 05/2008 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 13 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 19, 2026L••• W••••••• D•••••• (MEMBER) appeared on Schedule A between the filings of 2015-02-23 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 19, 2026D•••• M••••••• J•••• (CCO) appeared on Schedule A between the filings of 2015-02-23 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Aug 19, 2026custody of client assets (Item 9.A): no on the filing of 2026-04-15, yes on the filing of 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 19, 2026Y••••• G••••••• C•••••••• (MANAGING MEMBER / CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2015-02-23 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
- employee count surgeChange between filings · filing Apr 15, 2026employees (Item 5.A) moved from 11.0 to 18.0 (+64.0%) between the annual amendments of 2025-03-27 and 2026-04-15; the peer median change was +4.0% (1050 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 97% percentile
- RAUM up 50 %Change between filings · filing Apr 15, 2026RAUM (Item 5.F) moved from $582,070,638 to $1,109,267,076 (+91.0%) between the annual amendments of 2025-03-27 and 2026-04-15; the peer median change was +17.0% (1298 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 97% percentile
- account count surgeChange between filings · filing Apr 15, 2026accounts (Item 5.F.2.f) moved from 1,339.0 to 2,148.0 (+60.0%) between the annual amendments of 2025-03-27 and 2026-04-15; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
- advisor count surgeChange between filings · filing Apr 15, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 14.0 (+75.0%) between the annual amendments of 2025-03-27 and 2026-04-15; the peer median change was 0.0% (999 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,148 to 2,131Apr 15, 2026 to Aug 19, 2026
- Advisory employees · 9 to 11Apr 15, 2026 to Aug 19, 2026
- Corporate clients · 5 to 6Apr 15, 2026 to Aug 19, 2026
- HNW clients · 318 to 319Apr 15, 2026 to Aug 19, 2026
- Individual clients · 286 to 278Apr 15, 2026 to Aug 19, 2026
- Pension plan clients · 2 to 1Apr 15, 2026 to Aug 19, 2026
- Assets in custody · unset to 739041138.0Apr 15, 2026 to Aug 19, 2026
- Custody of client assets · false to trueApr 15, 2026 to Aug 19, 2026
- Financial planning clients · 251-500 to More than 500Apr 15, 2026 to Aug 19, 2026
- Other offices · 1 to 0Apr 15, 2026 to Aug 19, 2026
- Discretionary RAUM · $1.1B to $1.2BApr 15, 2026 to Aug 19, 2026
- HNW RAUM · $959M to $1.0BApr 15, 2026 to Aug 19, 2026
- Individual RAUM · $133M to $148MApr 15, 2026 to Aug 19, 2026
- Pension RAUM · $5.0M to $2.9MApr 15, 2026 to Aug 19, 2026
- RAUM · $1.1B to $1.2BApr 15, 2026 to Aug 19, 2026
- Accounts · 1,798 to 2,148Mar 13, 2026 to Apr 15, 2026
- Advisory employees · 6 to 9Mar 13, 2026 to Apr 15, 2026
- Corporate clients · 1 to 5Mar 13, 2026 to Apr 15, 2026
- HNW clients · 262 to 318Mar 13, 2026 to Apr 15, 2026
- Individual clients · 250 to 286Mar 13, 2026 to Apr 15, 2026
- Employees · 14 to 18Mar 13, 2026 to Apr 15, 2026
- State-registered IARs · 11 to 14Mar 13, 2026 to Apr 15, 2026
- Discretionary RAUM · $844M to $1.1BMar 13, 2026 to Apr 15, 2026
- HNW RAUM · $715M to $959MMar 13, 2026 to Apr 15, 2026
- Individual RAUM · $122M to $133MMar 13, 2026 to Apr 15, 2026
- Pension RAUM · $5.2M to $5.0MMar 13, 2026 to Apr 15, 2026
- RAUM · $844M to $1.1BMar 13, 2026 to Apr 15, 2026
- Accounts · 1,706 to 1,798Feb 25, 2026 to Mar 13, 2026
- HNW clients · 253 to 262Feb 25, 2026 to Mar 13, 2026
- Individual clients · 236 to 250Feb 25, 2026 to Mar 13, 2026
- Discretionary RAUM · $740M to $844MFeb 25, 2026 to Mar 13, 2026
- HNW RAUM · $623M to $715MFeb 25, 2026 to Mar 13, 2026
- Individual RAUM · $111M to $122MFeb 25, 2026 to Mar 13, 2026
- Pension RAUM · $4.9M to $5.2MFeb 25, 2026 to Mar 13, 2026
- RAUM · $740M to $844MFeb 25, 2026 to Mar 13, 2026
- Employees · 11 to 14Oct 1, 2025 to Feb 25, 2026
- State-registered IARs · 8 to 11Oct 1, 2025 to Feb 25, 2026
- Accounts · 1,663 to 1,706Oct 1, 2025 to Feb 25, 2026
- HNW clients · 231 to 253Oct 1, 2025 to Feb 25, 2026
- Individual clients · 240 to 236Oct 1, 2025 to Feb 25, 2026
Signals
8 dated events
- J••• R••••• C••••• registered as an investment adviser representative at A•• W••••• A•••••••• L••Sep 16, 2026 · Advisor registered · fact
- G•••••• C•••••••• Y•••• left A•• W••••• A•••••••• L•• for Y•••• W••••• (registered 2026-06-29)Aug 12, 2026 · Advisor changed firm · fact
- A•• W••••• A•••••••• L•• reported RAUM $1.1B, up 31% from $844.3M (2026-03-13 to 2026-04-15)Apr 15, 2026 · RAUM change · derived
- B•••••• M••••••• W•••• left A•• W••••• A•••••••• L•• for C••••••• P•••••••• I••• (registered 2025-04-09)May 8, 2025 · Advisor changed firm · fact
- J••••• R••••• left A•• W••••• A•••••••• L•• for L••••• F•••••••• G••••• L•• (registered 2025-03-31)Dec 26, 2024 · Advisor changed firm · fact
- S••••• J••••• C•••••••• left A•• W••••• A•••••••• L•• for C•••••••• F•••••••• M••••••••• (registered 2024-09-25)Oct 11, 2024 · Advisor changed firm · fact
- Christopher John Remm (Member) no longer on Schedule A of A•• W••••• A•••••••• L•• (listed 2023-11-02, absent 2024-02-26)Feb 26, 2024 · Control person left · inference
- S•••••• Y•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 9, 2014 · 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•••@a••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-214-9572reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-383-6556reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/2589798reportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.a••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-214-9572reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- a••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $86.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026