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 Jul 14, 2026
First filing on the tape Jul 14, 2026 · 1 filings
RAUM
$73.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
- RAUM per advisor
- $14.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $122,163derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $73.9M, 286 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$73.9M100%
- Charitable organizations$34,6880.0%
- Individual clients
- 286reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 605reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.9M for 286 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• D•••• E••••• | Phoenix, Az | Feb 3, 2012 | 39 y | 2 |
| C•••••• L•• C•••••••• | Phoenix, Az | Feb 18, 2016 | 15 y | 0 |
| K•••••••• J• V•••••• | Phoenix, Az | May 22, 2019 | 10 y | 0 |
| S•••• H••••• A••••• | San Diego, Ca | Oct 6, 2024 | 11 y | 2 |
| L•••• C•••••• | Phoenix, Az | Jan 8, 2026 | 10 y | 0 |
Advisor movement
Left, latest
- M••••• C• N••••••• to M••••• S••••••Sep 26, 2024 · Other
- E••••• H• P••••• to M•••••• S••••••••• A•••• M••••••••• L••Sep 15, 2016 · Other
- A•••• J••••• P•••••• to S••••••••• C••••••Oct 9, 2015 · Other
Joined, latest
- S•••• H••••• A••••• from T••••• P•••••••••Oct 6, 2024 · Other
- M••••• C• N••••••• from F••••• I•••••••••Jun 7, 2024 · RIA to a state-registered adviser
- A•••• J••••• P•••••• from N••••••• W••••• M•••••••••Apr 14, 2015 · RIA to a state-registered adviser
- D•••• D•••• E••••• from F•••• F•••••••• E••••• C•••••••••Feb 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- M••••• C• N••••••• left E••••• W••••• M••••••••• L•• for M••••• S•••••• (registered 2024-09-24)Sep 26, 2024 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/3014350reportedpublic record, Form ADV, Sep 18, 2026
- Website
- E•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-545-4746reportedpublic record, Form ADV, Jul 14, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026