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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Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Nov 12, 2010
RAUM
$105M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$105M as of Mar 31, 2026
Mar 30, 2012$125M then
HNW client RAUM$105M as of Mar 31, 2026
Mar 30, 2018$125M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +4.6% over the last fiscal year+6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $7.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M100%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• N•• G••••••••• | Tucson, Az | Nov 7, 2011 | 27 y | 2 |
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
- A••••• N•• G••••••••• from M••••• S••••••Nov 7, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• A•••••• N•• · Chief Compliance Officercontrolsince 09/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 14Mar 31, 2025 to Mar 31, 2026
- HNW RAUM · $100M to $105MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $100M to $105MMar 31, 2025 to Mar 31, 2026
- RAUM · $100M to $105MMar 31, 2025 to Mar 31, 2026
- Accounts · 15 to 13Mar 13, 2024 to Mar 31, 2025
- HNW clients · 15 to 13Mar 13, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 31, 2025
- HQ city · unset to Mar 13, 2024 to Mar 31, 2025
- HQ state · unset to Mar 13, 2024 to Mar 31, 2025
- HNW RAUM · $95.5M to $100MMar 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $95.5M to $100MMar 13, 2024 to Mar 31, 2025
- RAUM · $95.5M to $100MMar 13, 2024 to Mar 31, 2025
- Accounts · 16 to 15May 18, 2023 to Mar 13, 2024
- HNW clients · 16 to 15May 18, 2023 to Mar 13, 2024
- HNW RAUM · $91.4M to $95.5MMay 18, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $91.4M to $95.5MMay 18, 2023 to Mar 13, 2024
- RAUM · $91.4M to $95.5MMay 18, 2023 to Mar 13, 2024
- Accounts · 15 to 16Mar 29, 2023 to May 18, 2023
- HNW clients · 15 to 16Mar 29, 2023 to May 18, 2023
- HNW RAUM · $85.7M to $91.4MMar 29, 2023 to May 18, 2023
- Non-discretionary RAUM · $85.7M to $91.4MMar 29, 2023 to May 18, 2023
- RAUM · $85.7M to $91.4MMar 29, 2023 to May 18, 2023
- Accounts · 21 to 15Mar 31, 2022 to Mar 29, 2023
- HNW clients · 14 to 15Mar 31, 2022 to Mar 29, 2023
- HNW RAUM · $103M to $85.7MMar 31, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $103M to $85.7MMar 31, 2022 to Mar 29, 2023
- RAUM · $103M to $85.7MMar 31, 2022 to Mar 29, 2023
- Accounts · 19 to 21Mar 31, 2021 to Mar 31, 2022
- HNW RAUM · $101M to $103MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $101M to $103MMar 31, 2021 to Mar 31, 2022
- RAUM · $101M to $103MMar 31, 2021 to Mar 31, 2022
- Accounts · 14 to 19Jun 29, 2020 to Mar 31, 2021
- State-registered IARs · 1 to 0Jun 29, 2020 to Mar 31, 2021
- HNW RAUM · $115M to $101MJun 29, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $115M to $101MJun 29, 2020 to Mar 31, 2021
- RAUM · $115M to $101MJun 29, 2020 to Mar 31, 2021
- Accounts · 20 to 14Mar 29, 2019 to Mar 26, 2020
- HNW clients · 20 to 14Mar 29, 2019 to Mar 26, 2020
- HNW RAUM · $125M to $115MMar 29, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $125M to $115MMar 29, 2019 to Mar 26, 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
- Principal office phone
- 520-822-4709reportedpublic record, Form ADV, Mar 31, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026