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

P•••••••• I••••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 151479SEC 801-70599IAPD
Latest filing Mar 20, 2019
First filing on the tape Mar 29, 2012 · 25 filings
RAUM
$283M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
92%
$259M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
25 filings and snapshots on the tape
RAUM$283M as of Mar 20, 2019
Mar 29, 2012$152M then
HNW client RAUM$132M as of Mar 20, 2019
Mar 16, 2018$252M then
State-registered IARs (5.B.3)5 as of Mar 20, 2019
Mar 29, 20120 then
Employees (5.A)5 as of Mar 20, 2019
Mar 15, 20133 then
Private funds: no history
RAUM -7.5% over the last fiscal year+7.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 2019; every figure names its basis
RAUM per advisor
$56.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
152derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$354,944derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
8.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+150%derived
Compensation
percentage of assets, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$57.1M, 152 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$132M47%
  • Individuals$127M45%
  • Pension and profit-sharing plans$22.5M8.0%
  • Charitable organizations$1.4M0.5%
Individual clients
690reported
HNW clients
69reported
Pension plan clients
36reported
Charitable clients
n/areported
Accounts
797reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$57.1M for 152 clientsreported
Compensation
% of AUM, hourly, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• A•••••• J••••••• · Membercontrol
      since 11/2009 · owns 25% to 50%
    • N•••••• M•••••• J••• · Cco/Managing Membercontrol
      since 11/2009 · owns 25% to 50%
    • N•••••• P••••• L•• •••••• · Managing Membercontrol
      since 11/2009 · owns 10% to 25%
    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
    • Accounts · 742 to 797
      Mar 17, 2018 to Mar 20, 2019
    • Charity clients · 1.0 to unset
      Mar 17, 2018 to Mar 20, 2019
    • Corporate clients · 12.0 to unset
      Mar 17, 2018 to Mar 20, 2019
    • HNW clients · 131 to 69
      Mar 17, 2018 to Mar 20, 2019
    • Individual clients · 172 to 690
      Mar 17, 2018 to Mar 20, 2019
    • Pension plan clients · 8 to 36
      Mar 17, 2018 to Mar 20, 2019
    • Assets in custody · $179M to $57.1M
      Mar 17, 2018 to Mar 20, 2019
    • Discretionary RAUM · $272M to $259M
      Mar 17, 2018 to Mar 20, 2019
    • HNW RAUM · $252M to $132M
      Mar 17, 2018 to Mar 20, 2019
    • Individual RAUM · $24.6M to $127M
      Mar 17, 2018 to Mar 20, 2019
    • Non-discretionary RAUM · $33.9M to $24.1M
      Mar 17, 2018 to Mar 20, 2019
    • Pension RAUM · $11.2M to $22.5M
      Mar 17, 2018 to Mar 20, 2019
    • RAUM · $306M to $283M
      Mar 17, 2018 to Mar 20, 2019
    • Accounts · 748 to 742
      Jan 5, 2018 to Mar 16, 2018
    • Charity clients · unset to 1.0
      Jan 5, 2018 to Mar 16, 2018
    • Corporate clients · unset to 12.0
      Jan 5, 2018 to Mar 16, 2018
    • HNW clients · 38 to 131
      Jan 5, 2018 to Mar 16, 2018
    • Individual clients · 272 to 172
      Jan 5, 2018 to Mar 16, 2018
    • Pension plan clients · 26 to 8
      Jan 5, 2018 to Mar 16, 2018
    • Assets in custody · unset to 178580116.0
      Jan 5, 2018 to Mar 16, 2018
    • Custody of client assets · false to true
      Jan 5, 2018 to Mar 16, 2018
    • Discretionary RAUM · $263M to $272M
      Jan 5, 2018 to Mar 16, 2018
    • HNW RAUM · $107M to $252M
      Jan 5, 2018 to Mar 16, 2018
    • Individual RAUM · $181M to $24.6M
      Jan 5, 2018 to Mar 16, 2018
    • Non-discretionary RAUM · $38.1M to $33.9M
      Jan 5, 2018 to Mar 16, 2018
    • Pension RAUM · $26.3M to $11.2M
      Jan 5, 2018 to Mar 16, 2018
    • RAUM · $301M to $306M
      Jan 5, 2018 to Mar 16, 2018
    • Accounts · 730 to 748
      Nov 21, 2017 to Jan 5, 2018
    • Discretionary RAUM · $270M to $263M
      Nov 21, 2017 to Jan 5, 2018
    • Non-discretionary RAUM · $44.7M to $38.1M
      Nov 21, 2017 to Jan 5, 2018
    • RAUM · $315M to $301M
      Nov 21, 2017 to Jan 5, 2018
    • Accounts · 683 to 730
      Mar 17, 2017 to Nov 21, 2017
    • Advisory activities · 3 to 4
      Mar 17, 2017 to Nov 21, 2017
    • HNW clients · unset to 38.0
      Mar 17, 2017 to Nov 21, 2017
    • Individual clients · unset to 272.0
      Mar 17, 2017 to Nov 21, 2017
    • Pension plan clients · unset to 26.0
      Mar 17, 2017 to Nov 21, 2017
    • Other offices · unset to 0.0
      Mar 17, 2017 to Nov 21, 2017
    • Discretionary RAUM · $218M to $270M
      Mar 17, 2017 to Nov 21, 2017
    • HNW RAUM · unset to 107440600.0
      Mar 17, 2017 to Nov 21, 2017
    • Individual RAUM · unset to 180974938.0
      Mar 17, 2017 to Nov 21, 2017
    Signals
    No event on the tape.
    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