DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S••••••• A•••••• G••••

STATE REGISTEREDMesa, ArizonaCRD 147357IAPD
Legal name S••••••• I••••••••• A••••••• I•••
Latest filing Jun 11, 2020
First filing on the tape Jun 11, 2020 · 1 filings
RAUM
$11.7M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
100%
$11.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 11, 2020; every figure names its basis
RAUM per advisor
$1.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$176,667derivedHNW RAUM over HNW clients
Average account
$43,962derivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
unknownreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$9.0M77%
  • High-net-worth individuals$2.6M23%
Individual clients
250reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
265reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
on the IAPD state feed, not SEC-registeredderived
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • I•• J••••• K••••••••• left S••••••• A•••••• G•••• for P••• F•••••••• L•• (registered 2022-08-10)
    Aug 12, 2022 · a•••••• firm change · 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
Principal office phone
480-729-8000reportedpublic record, Form ADV, Jun 11, 2020
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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026