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

H••••••• W••••• M••••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 158107SEC 801-106598IAPD
Latest filing Feb 14, 2017
First filing on the tape Aug 25, 2015 · 8 filings
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$159M as of Feb 14, 2017
Jan 22, 2016$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 14, 2017
Jan 22, 20164 then
Employees (5.A)8 as of Feb 14, 2017
Jan 22, 20165 then
Private funds: no history
RAUM +44% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Feb 14, 2017; every figure names its basis
RAUM per advisor
$31.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$185,006derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+44%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
861reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • F••••• M••••••• B•••• · Presidentcontrol
      since 05/2011 · owns 25% to 50%
    • H•••••• K•••••• M•••••• · Chief Compliance Officercontrol
      since 09/2015 · owns less than 5%
    • N•••••• R••••• E•••• · Chief Executive Officercontrol
      since 12/2016 · owns 25% to 50%
    • M••••• D••••• E•••• · Director
      since 12/2016 · owns less than 5%
    Related persons
    Schedule D 7.A
    • F•••• A•• A••••••••• L••
      real estaten
    • H••••••• C•••••••• P••••• A••••••••• P•••
      insurancen
    • H••••••• I•••••••• A•••••••• L••
      real estaten
    • N••••• H•••••• P•
      n
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 572 to 861
      Aug 1, 2016 to Feb 14, 2017
    • Employees · 7 to 8
      Aug 1, 2016 to Feb 14, 2017
    • Insurance-licensed employees · 1 to 0
      Aug 1, 2016 to Feb 14, 2017
    • Financial planning clients · 101-250 to 251-500
      Aug 1, 2016 to Feb 14, 2017
    • State-registered IARs · 6 to 5
      Aug 1, 2016 to Feb 14, 2017
    • Discretionary RAUM · $110M to $159M
      Aug 1, 2016 to Feb 14, 2017
    • Non-discretionary RAUM · $1.0M to $483,000
      Aug 1, 2016 to Feb 14, 2017
    • RAUM · $111M to $159M
      Aug 1, 2016 to Feb 14, 2017
    • Related insurance company · false to true
      Aug 1, 2016 to Feb 14, 2017
    • Advisory employees · 4 to 6
      Jul 11, 2016 to Aug 1, 2016
    • Employees · 5 to 7
      Jul 11, 2016 to Aug 1, 2016
    • Insurance-licensed employees · 0 to 1
      Jul 11, 2016 to Aug 1, 2016
    • State-registered IARs · 4 to 6
      Jul 11, 2016 to Aug 1, 2016
    • Accounts · 565 to 572
      Sep 30, 2015 to Jan 22, 2016
    • Advisory employees · 3 to 4
      Sep 30, 2015 to Jan 22, 2016
    • Employees · 3 to 5
      Sep 30, 2015 to Jan 22, 2016
    • State-registered IARs · 3 to 4
      Sep 30, 2015 to Jan 22, 2016
    • Discretionary RAUM · $101M to $110M
      Sep 30, 2015 to Jan 22, 2016
    • RAUM · $102M to $111M
      Sep 30, 2015 to Jan 22, 2016
    Signals
    1 dated events
    • H••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 25, 2015 · 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