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
E••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 21, 2023 · 6 filings
SEC status approved since Jan 3, 2024
RAUM
$57.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$57.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$19.1M
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
6 filings and snapshots on the tape
RAUM$57.4M as of Mar 30, 2026
Mar 29, 2024$43.3M then
HNW client RAUM$11.4M as of Mar 30, 2026
Mar 29, 2024$7.1M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 29, 20243 then
Employees (5.A)3 as of Mar 30, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $19.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $953,696derivedHNW RAUM over HNW clients
- Average account
- $155,496derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$45.9M80%
- High-net-worth individuals$11.4M20%
- Individual clients
- 357reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 369reported
- Financial planning clients
- 11-25reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• J•••• M•••••••Personal Financial Specialist | Tempe, Az | Aug 9, 2016 | 16 y | 0 |
| T•••••• M•••••••Certified Financial Planner | Tempe, Az | Aug 4, 2020 | 20 y | 2 |
| B•••••• V•••• | Tempe, Az | Oct 19, 2021 | 25 y | 3 |
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
- S••••• R••• W•••• to M••••• S••••••May 24, 2023 · RIA to wirehouse
Joined, latest
- S••••• R••• W•••• from F••• P••••••••• W••••• A•••••••• L••Mar 31, 2022 · RIA to RIA
- B•••••• V•••• from O••••••••• S••••••••• I•••Oct 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- T•••••• M••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Aug 4, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• G•••• J•••• · Managing Membercontrolsince 12/2010 · owns 50% to 75%
- M•••••••• T••••••• W•••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- S•••••• M••••••• M•••••• · Silent Ownersince 12/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••••••• F••••••••• S•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tempe, Az · principal | 3 | 0 | 0 |
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 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 388 to 369Mar 28, 2025 to Mar 30, 2026
- HNW clients · 13 to 12Mar 28, 2025 to Mar 30, 2026
- Individual clients · 375 to 357Mar 28, 2025 to Mar 30, 2026
- HNW RAUM · $9.8M to $11.4MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $42.0M to $45.9MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $51.8M to $57.4MMar 28, 2025 to Mar 30, 2026
- RAUM · $51.8M to $57.4MMar 28, 2025 to Mar 30, 2026
- Accounts · 402 to 388Sep 26, 2024 to Mar 28, 2025
- Individual clients · 389 to 375Sep 26, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Sep 26, 2024 to Mar 28, 2025
- HNW RAUM · $7.1M to $9.8MSep 26, 2024 to Mar 28, 2025
- Individual RAUM · $36.2M to $42.0MSep 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $43.3M to $51.8MSep 26, 2024 to Mar 28, 2025
- RAUM · $43.3M to $51.8MSep 26, 2024 to Mar 28, 2025
- Accounts · 397 to 402Jan 8, 2024 to Mar 29, 2024
- HNW clients · 9 to 13Jan 8, 2024 to Mar 29, 2024
- HNW RAUM · $4.4M to $7.1MJan 8, 2024 to Mar 29, 2024
- Individual RAUM · $34.4M to $36.2MJan 8, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $38.8M to $43.3MJan 8, 2024 to Mar 29, 2024
- RAUM · $38.8M to $43.3MJan 8, 2024 to Mar 29, 2024
Signals
2 dated events
- E••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 21, 2023 · First SEC registration · fact
- S••••• R••• W•••• left E••••• W••••• M••••••••• L•• for M••••• S•••••• (registered 2023-03-01)May 24, 2023 · Advisor changed firm · fact
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
- i•••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-433-8881reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (888) 433-8881reportedpublic record, Form ADV, Mar 30, 2026
- public contact f•••
- e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $19.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026