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
C•••••••• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 21, 2012 · 16 filings
SEC status approved since Sep 30, 2010
RAUM
$844M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$199M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$422M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$844M as of Mar 18, 2026
Mar 21, 2012$220M then
HNW client RAUM$196M as of Mar 18, 2026
Mar 8, 2018$23.9M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 21, 20120 then
Employees (5.A)3 as of Mar 18, 2026
Mar 13, 20133 then
Private funds: no history
RAUM +5.8% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $422MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $33.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 76%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$645M76%
- High-net-worth individuals$196M23%
- Individuals$2.5M0.3%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.24 fund_share=0.0 institutional_share=0.76 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• K•••••• K••••• | Phoenix, Az | Nov 30, 2010 | 16 y | 0 |
| T••••• P•••• P••••• | Phoenix, Az | Nov 30, 2010 | 31 y | 0 |
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
- K•••••• P••••••• K•••••• · Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- P•••••• T•••••• P•••• · Managing Membercontrolsince 10/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Flagstaff, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 18, 2026institutional share of RAUM of 76% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 25.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 29 to 25Mar 14, 2025 to Mar 18, 2026
- HNW clients · 17 to 15Mar 14, 2025 to Mar 18, 2026
- Discretionary RAUM · $798M to $844MMar 14, 2025 to Mar 18, 2026
- HNW RAUM · $202M to $196MMar 14, 2025 to Mar 18, 2026
- Individual RAUM · $1.5M to $2.5MMar 14, 2025 to Mar 18, 2026
- RAUM · $798M to $844MMar 14, 2025 to Mar 18, 2026
- Accounts · 26 to 29Mar 14, 2024 to Mar 14, 2025
- HNW clients · 16 to 17Mar 14, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $735M to $798MMar 14, 2024 to Mar 14, 2025
- HNW RAUM · $189M to $202MMar 14, 2024 to Mar 14, 2025
- Individual RAUM · $869,785 to $1.5MMar 14, 2024 to Mar 14, 2025
- RAUM · $735M to $798MMar 14, 2024 to Mar 14, 2025
- Accounts · 25 to 26Mar 21, 2023 to Mar 14, 2024
- HNW clients · 15 to 16Mar 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $621M to $735MMar 21, 2023 to Mar 14, 2024
- HNW RAUM · $160M to $189MMar 21, 2023 to Mar 14, 2024
- Individual RAUM · $460,127 to $869,785Mar 21, 2023 to Mar 14, 2024
- RAUM · $621M to $735MMar 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $661M to $621MMar 17, 2022 to Mar 21, 2023
- HNW RAUM · $187M to $160MMar 17, 2022 to Mar 21, 2023
- Individual RAUM · $184,871 to $460,127Mar 17, 2022 to Mar 21, 2023
- RAUM · $661M to $621MMar 17, 2022 to Mar 21, 2023
- Accounts · 24 to 25Mar 22, 2021 to Mar 17, 2022
- HNW clients · 10 to 15Mar 22, 2021 to Mar 17, 2022
- Discretionary RAUM · $561M to $661MMar 22, 2021 to Mar 17, 2022
- HNW RAUM · $114M to $187MMar 22, 2021 to Mar 17, 2022
- Individual RAUM · $169,000 to $184,871Mar 22, 2021 to Mar 17, 2022
- RAUM · $561M to $661MMar 22, 2021 to Mar 17, 2022
- Accounts · 23 to 24Jun 18, 2020 to Mar 22, 2021
- HNW clients · 9 to 10Jun 18, 2020 to Mar 22, 2021
- Discretionary RAUM · $479M to $561MJun 18, 2020 to Mar 22, 2021
- HNW RAUM · $47.3M to $114MJun 18, 2020 to Mar 22, 2021
- Individual RAUM · $197,721 to $169,000Jun 18, 2020 to Mar 22, 2021
- RAUM · $479M to $561MJun 18, 2020 to Mar 22, 2021
- Corporate clients · 1.0 to unsetMar 13, 2019 to Mar 25, 2020
- HNW clients · 8 to 9Mar 13, 2019 to Mar 25, 2020
- Discretionary RAUM · $437M to $479MMar 13, 2019 to Mar 25, 2020
- HNW RAUM · $29.3M to $47.3MMar 13, 2019 to Mar 25, 2020
- Individual RAUM · $200,000 to $197,721Mar 13, 2019 to Mar 25, 2020
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.
How to reach
public business contact points only, each with its source
- Business email
- info@claremontcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 602-560-8053reportedpublic record, Form ADV, Mar 18, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $422Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026