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.

Former SEC-registered adviser

Cardinal Point Wealth Management, LLC

Former SEC-registered adviserIrvine, CaliforniaCRD 151579SEC 801-110000IAPD
Latest filing Sep 10, 2021
First filing on the tape Feb 9, 2017 · 31 filings
RAUM
$648M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$648M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
17 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$566M as of Mar 9, 2021
Feb 2, 2018$150M then
HNW client RAUM$529M as of Mar 9, 2021
Feb 2, 2018$144M then
State-registered IARs (5.B.3)17 as of Mar 9, 2021
Feb 2, 20186 then
Employees (5.A)26 as of Mar 9, 2021
Feb 2, 201811 then
Private funds: no history
RAUM +187% over the last fiscal year+63% a year over threeIARs 11 to 17offices 4 to 5
Practice profile
derived from the filing of Sep 10, 2021; every figure names its basis
RAUM per advisor
$38.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$837,304derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+151%derivedbetween the last two annual amendments
Advisor growth, one year
+55%derivedItem 5.B.3 between annual amendments
Client growth, one year
+101%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$258M, 239 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)
  • 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$606M94%
  • Individuals$42.1M6.5%
Individual clients
117reported
HNW clients
169reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
774reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$258M for 239 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    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
    • Arthur James Sheldon · Managing Membercontrol
      since 09/2009 · owns 25% to 50%
    • Scott Jeffrey Sheldon · Managing Membercontrol
      since 09/2009 · owns 25% to 50%
    • Frank Terry Ritchie · Presidentcontrol
      since 03/2015 · owns 75% or more of Shelritch Inc.
    • Alan Jeffrey Adema · Member
      since 12/2019 · owns less than 5%
    • J Matthew Carvalho · Member
      since 01/2019 · owns 5% to 10%
    • Grace Mary Daley · Member
      since 12/2019 · owns less than 5%
    • Cragin John Mccord · Managing Member
      since 11/2015 · owns 10% to 25%
    • Ann Sally Taylor · Member
      since 01/2021 · owns less than 5%
    • Matthew Donald Zienty · Chief Compliance Officer
      since 05/2020 · owns less than 5%
    Entity owners
    • Shelritch Inc. · Managing Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Phoenix, AZ8 employees
    • Toronto, On, Canada4 employees
    • Boca Raton, FL1 employees
    • Calgary, Ab, Canada1 employees
    • Vancouver, Bc, Canada1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 713 to 774
      Mar 12, 2021 to Sep 3, 2021
    • HNW clients · 154 to 169
      Mar 12, 2021 to Sep 3, 2021
    • Individual clients · 107 to 117
      Mar 12, 2021 to Sep 3, 2021
    • Discretionary RAUM · $555M to $636M
      Mar 12, 2021 to Sep 3, 2021
    • HNW RAUM · $529M to $606M
      Mar 12, 2021 to Sep 3, 2021
    • Individual RAUM · $36.8M to $42.1M
      Mar 12, 2021 to Sep 3, 2021
    • Non-discretionary RAUM · $11.7M to $12.0M
      Mar 12, 2021 to Sep 3, 2021
    • RAUM · $566M to $648M
      Mar 12, 2021 to Sep 3, 2021
    • Accounts · 718 to 713
      Jun 30, 2020 to Mar 9, 2021
    • HNW clients · 144 to 154
      Jun 30, 2020 to Mar 9, 2021
    • Individual clients · 101 to 107
      Jun 30, 2020 to Mar 9, 2021
    • Assets in custody · $168M to $258M
      Jun 30, 2020 to Mar 9, 2021
    • Discretionary RAUM · $469M to $555M
      Jun 30, 2020 to Mar 9, 2021
    • HNW RAUM · $443M to $529M
      Jun 30, 2020 to Mar 9, 2021
    • Individual RAUM · $31.0M to $36.8M
      Jun 30, 2020 to Mar 9, 2021
    • Non-discretionary RAUM · $4.6M to $11.7M
      Jun 30, 2020 to Mar 9, 2021
    • RAUM · $474M to $566M
      Jun 30, 2020 to Mar 9, 2021
    • Assets in custody · $71.6M to $168M
      May 27, 2020 to Jun 1, 2020
    • Advisory activities · 3 to 4
      May 15, 2020 to May 27, 2020
    • Accounts · 381 to 718
      Apr 16, 2020 to May 8, 2020
    • HNW clients · 73 to 144
      Apr 16, 2020 to May 8, 2020
    • Individual clients · 57 to 101
      Apr 16, 2020 to May 8, 2020
    • Employees · 27 to 26
      Apr 16, 2020 to May 8, 2020
    • Discretionary RAUM · $226M to $469M
      Apr 16, 2020 to May 8, 2020
    • HNW RAUM · $209M to $443M
      Apr 16, 2020 to May 8, 2020
    • Individual RAUM · $17.5M to $31.0M
      Apr 16, 2020 to May 8, 2020
    • Non-discretionary RAUM · $96,215 to $4.6M
      Apr 16, 2020 to May 8, 2020
    • RAUM · $226M to $474M
      Apr 16, 2020 to May 8, 2020
    • Advisory employees · 11 to 17
      Feb 26, 2020 to Apr 16, 2020
    • Employees · 16 to 27
      Feb 26, 2020 to Apr 16, 2020
    • Insurance-licensed employees · 11 to 17
      Feb 26, 2020 to Apr 16, 2020
    • State-registered IARs · 11 to 17
      Feb 26, 2020 to Apr 16, 2020
    • Other offices · 4 to 5
      Feb 26, 2020 to Apr 16, 2020
    • Accounts · 347 to 381
      Apr 3, 2019 to Feb 26, 2020
    • HNW clients · 59 to 73
      Apr 3, 2019 to Feb 26, 2020
    • Individual clients · 46 to 57
      Apr 3, 2019 to Feb 26, 2020
    • Assets in custody · $58.5M to $71.6M
      Apr 3, 2019 to Feb 26, 2020
    • Discretionary RAUM · $175M to $226M
      Apr 3, 2019 to Feb 26, 2020
    • HNW RAUM · $160M to $209M
      Apr 3, 2019 to Feb 26, 2020
    • Individual RAUM · $14.8M to $17.5M
      Apr 3, 2019 to Feb 26, 2020
    Signals
    2 dated events
    • Cardinal Point Wealth Management, Llc reported RAUM $474.1M, up 110% from $226.0M (2020-04-16 to 2020-05-08)
      May 8, 2020 · RAUM change · derived
    • Cardinal Point Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Feb 9, 2017 · 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