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

I••• W•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserTucson, ArizonaCRD 157457SEC 801-81094IAPD
Latest filing Jun 30, 2022
First filing on the tape Mar 12, 2012 · 29 filings
RAUM
$194M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$194M as of Mar 25, 2022
Mar 12, 2012$55.0M then
HNW client RAUM$124M as of Mar 25, 2022
Mar 28, 2018$45.0M then
State-registered IARs (5.B.3)3 as of Mar 25, 2022
Mar 12, 20120 then
Employees (5.A)3 as of Mar 25, 2022
Feb 18, 20166 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 6 to 3
Practice profile
derived from the filing of Jun 30, 2022; every figure names its basis
RAUM per advisor
$64.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
164derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$131,893derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$88.1MreportedItem 5.I
Custody
$23.0M, 202 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$124M64%
  • Individuals$68.7M35%
  • Charitable organizations$524,6200.3%
Individual clients
419reported
HNW clients
74reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
1,468reported
Financial planning clients
1-10reported
Wrap fee programs
$58.5M sponsored, $193M managedreported
Custody of client assets
$23.0M for 202 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
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
    • I•••• G•••• K•••• · Chief Compliance Officer And Managing Membercontrol
      since 04/2011 · 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.
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 22961792.0
      Mar 25, 2022 to Apr 12, 2022
    • Custody of client assets · false to true
      Mar 25, 2022 to Apr 12, 2022
    • Accounts · 1,304 to 1,468
      Mar 8, 2021 to Mar 25, 2022
    • Advisory employees · 4 to 3
      Mar 8, 2021 to Mar 25, 2022
    • Charity clients · 3 to 1
      Mar 8, 2021 to Mar 25, 2022
    • HNW clients · 63 to 74
      Mar 8, 2021 to Mar 25, 2022
    • Individual clients · 390 to 419
      Mar 8, 2021 to Mar 25, 2022
    • Pension plan clients · 5.0 to unset
      Mar 8, 2021 to Mar 25, 2022
    • Employees · 6 to 3
      Mar 8, 2021 to Mar 25, 2022
    • State-registered IARs · 6 to 3
      Mar 8, 2021 to Mar 25, 2022
    • Discretionary RAUM · $157M to $193M
      Mar 8, 2021 to Mar 25, 2022
    • HNW RAUM · $99.7M to $124M
      Mar 8, 2021 to Mar 25, 2022
    • Individual RAUM · $50.7M to $68.7M
      Mar 8, 2021 to Mar 25, 2022
    • Non-discretionary RAUM · $507,290 to $529,196
      Mar 8, 2021 to Mar 25, 2022
    • Pension RAUM · 3827244.0 to unset
      Mar 8, 2021 to Mar 25, 2022
    • RAUM · $157M to $194M
      Mar 8, 2021 to Mar 25, 2022
    • Wrap assets (manager) · $0 to $193M
      Mar 8, 2021 to Mar 25, 2022
    • Wrap assets (sponsor) · $0 to $58.5M
      Mar 8, 2021 to Mar 25, 2022
    • Accounts · 1,089 to 1,304
      May 14, 2020 to Mar 8, 2021
    • Advisory employees · 7 to 4
      May 14, 2020 to Mar 8, 2021
    • Advisory activities · 5 to 4
      May 14, 2020 to Mar 8, 2021
    • Charity clients · unset to 3.0
      May 14, 2020 to Mar 8, 2021
    • HNW clients · 29 to 63
      May 14, 2020 to Mar 8, 2021
    • Individual clients · 401 to 390
      May 14, 2020 to Mar 8, 2021
    • Pension plan clients · 6 to 5
      May 14, 2020 to Mar 8, 2021
    • Assets in custody · 116237056.0 to unset
      May 14, 2020 to Mar 8, 2021
    • Custody of client assets · true to false
      May 14, 2020 to Mar 8, 2021
    • Employees · 7 to 6
      May 14, 2020 to Mar 8, 2021
    • State-registered IARs · 7 to 6
      May 14, 2020 to Mar 8, 2021
    • Discretionary RAUM · $125M to $157M
      May 14, 2020 to Mar 8, 2021
    • HNW RAUM · $50.4M to $99.7M
      May 14, 2020 to Mar 8, 2021
    • Individual RAUM · $67.1M to $50.7M
      May 14, 2020 to Mar 8, 2021
    • Non-discretionary RAUM · $500,481 to $507,290
      May 14, 2020 to Mar 8, 2021
    • Pension RAUM · $5.0M to $3.8M
      May 14, 2020 to Mar 8, 2021
    • RAUM · $125M to $157M
      May 14, 2020 to Mar 8, 2021
    • Accounts · 973 to 1,089
      May 17, 2019 to Mar 20, 2020
    • Advisory employees · 6 to 7
      May 17, 2019 to Mar 20, 2020
    • Advisory activities · 4 to 5
      May 17, 2019 to Mar 20, 2020
    • HNW clients · 26 to 29
      May 17, 2019 to Mar 20, 2020
    • Individual clients · 390 to 401
      May 17, 2019 to Mar 20, 2020
    Signals
    7 dated events
    • J••• C• P•••••• left I••• W•••••••• I••••••••• M••••••••• L•• for F•••••••• P••••••• F••••• L•• (registered 2023-01-05)
      Dec 31, 2022 · Advisor changed firm · fact
    • I••• W•••••••• I••••••••• M••••••••• L••'s advisors moved to F•••••••• P••••••• F••••• L•• (Tucson, AZ): 3 of 3 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    • G••• K•••• I••• left I••• W•••••••• I••••••••• M••••••••• L•• for F•••••••• P••••••• F••••• L•• (registered 2022-06-29)
      Dec 31, 2022 · Advisor changed firm · fact
    • M•••••• P••• S••••••• left I••• W•••••••• I••••••••• M••••••••• L•• for F•••••••• P••••••• F••••• L•• (registered 2022-06-13)
      Dec 31, 2022 · Advisor changed firm · fact
    • E••••••• G•••• W•••••••• left I••• W•••••••• I••••••••• M••••••••• L•• for W•••••••• W••••• M••••••••• L•• (registered 2021-12-20)
      Jun 30, 2022 · Advisor changed firm · fact
    • Gerry Elbridge W•••••••• (Investment Advisor Representative) no longer on Schedule A of I••• W•••••••• I••••••••• M••••••••• L•• (listed 2022-05-19, absent 2022-06-30)
      Jun 30, 2022 · Control person left · inference
    • I••• W•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 2, 2015 · ria f•••• adv filing · 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