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••••••• W••••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jan 24, 2012 · 31 filings
SEC status approved since Feb 25, 2015
RAUM
$440M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$435M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$440M as of Feb 17, 2026
Jan 24, 2012$88.4M then
HNW client RAUM$369M as of Feb 17, 2026
Feb 21, 2018$79.1M then
State-registered IARs (5.B.3)3 as of Feb 17, 2026
Jan 24, 20120 then
Employees (5.A)4 as of Feb 17, 2026
Feb 29, 20163 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $687,960derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +5.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $57.8M, 131 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$369M84%
- Individuals$66.0M15%
- Pension and profit-sharing plans$4.6M1.0%
- Charitable organizations$356,2250.1%
- Individual clients
- 211reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 639reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.8M for 131 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J••• S••••••Certified Financial Planner | Tempe, Az | Jan 28, 2010 | 27 y | 0 |
| T•••••• A••• C•••••••• | Tempe, Az | Mar 3, 2010 | 42 y | 0 |
| M•• D•••• R••••••• | Tempe, Az | Jun 19, 2015 | 12 y | 1 |
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
- C••••••••• T••••••• A••• · Managing Membercontrolsince 01/2010 · owns 50% to 75%
- S••••••• K••••• J••• · Chief Compliance Officer/Membercontrolsince 01/2010 · 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 |
|---|---|---|---|---|---|
| Tempe, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Feb 17, 2026RAUM per registered advisor of $146,535,570 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 568 to 639Feb 5, 2025 to Feb 17, 2026
- HNW clients · 100 to 96Feb 5, 2025 to Feb 17, 2026
- Individual clients · 191 to 211Feb 5, 2025 to Feb 17, 2026
- Assets in custody · $126M to $57.8MFeb 5, 2025 to Feb 17, 2026
- Discretionary RAUM · $397M to $440MFeb 5, 2025 to Feb 17, 2026
- HNW RAUM · $342M to $369MFeb 5, 2025 to Feb 17, 2026
- Individual RAUM · $51.9M to $66.0MFeb 5, 2025 to Feb 17, 2026
- Pension RAUM · $2.4M to $4.6MFeb 5, 2025 to Feb 17, 2026
- RAUM · $397M to $440MFeb 5, 2025 to Feb 17, 2026
- Accounts · 555 to 568Sep 11, 2024 to Feb 5, 2025
- HNW clients · 70 to 100Sep 11, 2024 to Feb 5, 2025
- Individual clients · 118 to 191Sep 11, 2024 to Feb 5, 2025
- Assets in custody · $118M to $126MSep 11, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Sep 11, 2024 to Feb 5, 2025
- Discretionary RAUM · $351M to $397MSep 11, 2024 to Feb 5, 2025
- HNW RAUM · $319M to $342MSep 11, 2024 to Feb 5, 2025
- Individual RAUM · $28.9M to $51.9MSep 11, 2024 to Feb 5, 2025
- Pension RAUM · $2.0M to $2.4MSep 11, 2024 to Feb 5, 2025
- RAUM · $351M to $397MSep 11, 2024 to Feb 5, 2025
- Accounts · 547 to 555Feb 28, 2023 to Feb 16, 2024
- HNW clients · 102 to 70Feb 28, 2023 to Feb 16, 2024
- Individual clients · 202 to 118Feb 28, 2023 to Feb 16, 2024
- Assets in custody · $110M to $118MFeb 28, 2023 to Feb 16, 2024
- Discretionary RAUM · $287M to $351MFeb 28, 2023 to Feb 16, 2024
- HNW RAUM · $262M to $319MFeb 28, 2023 to Feb 16, 2024
- Individual RAUM · $23.3M to $28.9MFeb 28, 2023 to Feb 16, 2024
- Pension RAUM · $1.3M to $2.0MFeb 28, 2023 to Feb 16, 2024
- RAUM · $287M to $351MFeb 28, 2023 to Feb 16, 2024
- Accounts · 551 to 547Aug 10, 2022 to Feb 28, 2023
- HNW clients · 105 to 102Aug 10, 2022 to Feb 28, 2023
- Individual clients · 189 to 202Aug 10, 2022 to Feb 28, 2023
- Assets in custody · $127M to $110MAug 10, 2022 to Feb 28, 2023
- Employees · 3 to 4Aug 10, 2022 to Feb 28, 2023
- Discretionary RAUM · $305M to $287MAug 10, 2022 to Feb 28, 2023
- HNW RAUM · $248M to $262MAug 10, 2022 to Feb 28, 2023
- Individual RAUM · $55.0M to $23.3MAug 10, 2022 to Feb 28, 2023
- Pension RAUM · $1.5M to $1.3MAug 10, 2022 to Feb 28, 2023
- RAUM · $305M to $287MAug 10, 2022 to Feb 28, 2023
- Accounts · 539 to 551Oct 13, 2021 to Feb 4, 2022
- HNW clients · 62 to 105Oct 13, 2021 to Feb 4, 2022
Signals
1 dated events
- B••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 2015 · 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 phone
- 480-998-1819reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B•••••••WEALTHAZ.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-998-1819reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- b•••••••••.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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026