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

F•••• F•••••••• E••••• C•••••••••

Former SEC-registered adviserScottsdale, ArizonaCRD 16507SEC 801-63970IAPD
Latest filing Jun 30, 2022
First filing on the tape Mar 30, 2012 · 45 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
87%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
174
127 advisory (5.B.1)
Offices
42
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.4B as of Feb 3, 2022
Mar 30, 2012$1.3B then
HNW client RAUM$1.0B as of Feb 3, 2022
Mar 30, 2018$400M then
State-registered IARs (5.B.3)120 as of Feb 3, 2022
Mar 28, 2013105 then
Employees (5.A)174 as of Feb 3, 2022
Mar 28, 2013160 then
Private funds: no history
RAUM +12% over the last fiscal year+9.5% a year over threeIARs 127 to 120offices 46 to 42
Practice profile
derived from the filing of Jun 30, 2022; every figure names its basis
RAUM per advisor
$19.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$587,070derivedHNW RAUM over HNW clients
Average account
$412,137derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
2.8derived43 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-5.5%derivedItem 5.B.3 between annual amendments
Client growth, one year
-8.3%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
Wrap fee program
$267MreportedItem 5.I
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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$1.1B44%
  • High-net-worth individuals$1.0B42%
  • State and municipal entities$200M8.5%
  • Pension and profit-sharing plans$111M4.7%
Individual clients
3,971reported
HNW clients
1,716reported
Pension plan clients
64reported
Charitable clients
n/areported
Accounts
5,755reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, 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
  • G•••••• J•••••• S•••• · President / Ceocontrol
    since 01/2017 · owns 50% to 75%
  • M•••••• K•••••• A•••••• · Chief Compliance Officercontrol
    since 03/2020 · owns less than 5%
  • S••••••• A••••• L•• · Cfocontrol
    since 12/2019 · owns less than 5%
  • S••••••• R•••• W•••• · Coo / Secretary / Treasurercontrol
    since 09/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • S••••Sdale, AZ26 employees
  • Addison, TX17 employees
  • Billings, MT14 employees
  • Greenwood Village, CO13 employees
  • G•••Dale, AZ10 employees
  • Tucson, AZ6 employees
  • Tucson, AZ4 employees
  • Dublin, OH2 employees
  • F••••, ND2 employees
  • Duncan, OK2 employees
  • Long Beach, CA2 employees
  • , 2 employees
  • Casper, WY2 employees
  • Wichita, KS2 employees
  • Pasadena, CA2 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Organization form · Corporation to L•••••• Liability Company
    Feb 3, 2022 to Jun 30, 2022
  • Succession · false to true
    Feb 3, 2022 to Jun 30, 2022
  • Accounts · 6,253 to 5,755
    Jan 5, 2022 to Feb 3, 2022
  • BD registered reps · 145 to 137
    Jan 5, 2022 to Feb 3, 2022
  • HNW clients · 1,982 to 1,716
    Jan 5, 2022 to Feb 3, 2022
  • Individual clients · 4,217 to 3,971
    Jan 5, 2022 to Feb 3, 2022
  • Pension plan clients · 54 to 64
    Jan 5, 2022 to Feb 3, 2022
  • Employees · 178 to 174
    Jan 5, 2022 to Feb 3, 2022
  • State-registered IARs · 127 to 120
    Jan 5, 2022 to Feb 3, 2022
  • Other offices · 46 to 42
    Jan 5, 2022 to Feb 3, 2022
  • Discretionary RAUM · $1.7B to $2.1B
    Jan 5, 2022 to Feb 3, 2022
  • HNW RAUM · $1.1B to $1.0B
    Jan 5, 2022 to Feb 3, 2022
  • Individual RAUM · $737M to $1.1B
    Jan 5, 2022 to Feb 3, 2022
  • Non-discretionary RAUM · $399M to $232M
    Jan 5, 2022 to Feb 3, 2022
  • Pension RAUM · $158M to $111M
    Jan 5, 2022 to Feb 3, 2022
  • RAUM · $2.1B to $2.4B
    Jan 5, 2022 to Feb 3, 2022
  • Accounts · 6,778 to 6,253
    Dec 11, 2020 to Mar 23, 2021
  • Advisory employees · 143 to 127
    Dec 11, 2020 to Mar 23, 2021
  • BD registered reps · 160 to 145
    Dec 11, 2020 to Mar 23, 2021
  • HNW clients · 1,949 to 1,982
    Dec 11, 2020 to Mar 23, 2021
  • Individual clients · 4,787 to 4,217
    Dec 11, 2020 to Mar 23, 2021
  • Pension plan clients · 40 to 54
    Dec 11, 2020 to Mar 23, 2021
  • Employees · 198 to 178
    Dec 11, 2020 to Mar 23, 2021
  • State-registered IARs · 143 to 127
    Dec 11, 2020 to Mar 23, 2021
  • Other offices · 31 to 46
    Dec 11, 2020 to Mar 23, 2021
  • Discretionary RAUM · $1.9B to $1.7B
    Dec 11, 2020 to Mar 23, 2021
  • HNW RAUM · $1.2B to $1.1B
    Dec 11, 2020 to Mar 23, 2021
  • Individual RAUM · $594M to $737M
    Dec 11, 2020 to Mar 23, 2021
  • Non-discretionary RAUM · $123M to $399M
    Dec 11, 2020 to Mar 23, 2021
  • Pension RAUM · $173M to $158M
    Dec 11, 2020 to Mar 23, 2021
  • RAUM · $2.0B to $2.1B
    Dec 11, 2020 to Mar 23, 2021
  • Related insurance company · false to true
    Mar 3, 2020 to Apr 7, 2020
  • Accounts · 7,108 to 6,778
    Feb 3, 2020 to Mar 3, 2020
  • Advisory employees · 130 to 143
    Feb 3, 2020 to Mar 3, 2020
  • BD registered reps · 165 to 160
    Feb 3, 2020 to Mar 3, 2020
  • HNW clients · 1,500 to 1,949
    Feb 3, 2020 to Mar 3, 2020
  • Individual clients · 5,000 to 4,787
    Feb 3, 2020 to Mar 3, 2020
  • Pension plan clients · 600 to 40
    Feb 3, 2020 to Mar 3, 2020
  • Employees · 170 to 198
    Feb 3, 2020 to Mar 3, 2020
  • Financial planning clients · 101-250 to 26-50
    Feb 3, 2020 to Mar 3, 2020
Signals
60 dated events
  • J•••••• S•••• G••••• left F•••• F•••••••• E••••• C••••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
    Sep 25, 2022 · a•••••• firm change · fact
  • R•••• W•••• S•••••• left F•••• F•••••••• E••••• C••••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
    Sep 25, 2022 · a•••••• firm change · fact
  • Barry Steven Wheeler no longer registered at F•••• F•••••••• E••••• C•••••••••; no later IA registration on IAPD
    Aug 2, 2022 · a•••••• departure · fact
  • F•••• F•••••••• E••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jun 30, 2022 · Succession (Item 4) · fact
  • D••••• R••••• S•••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-06)
    May 4, 2022 · a•••••• firm change · fact
  • I•••• J• O••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-06)
    May 3, 2022 · a•••••• firm change · fact
  • T••• A•••• B•••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-07)
    May 3, 2022 · a•••••• firm change · fact
  • J•••• C••••• W••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-06)
    May 3, 2022 · a•••••• firm change · fact
  • B••• B•••••• J••••••••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-05)
    May 3, 2022 · a•••••• firm change · fact
  • M••• J••••• D•••••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-06)
    May 3, 2022 · a•••••• firm change · fact
  • J•••• T••••• N••••• left F•••• F•••••••• E••••• C••••••••• for O•••• W•••••• I••• (registered 2022-04-06)
    May 3, 2022 · a•••••• firm change · fact
  • F•••• F•••••••• E••••• C•••••••••'s advisors moved to O•••• W•••••• I••• (Scottsdale, AZ): 6 of 10 registered, a day apart
    May 3, 2022 · Firm absorbed (people side) · derived
  • J••••• C•••• H••••• left F•••• F•••••••• E••••• C••••••••• for F••••••••• I••••••••• A••••••• L•• (registered 2022-04-27)
    Apr 25, 2022 · a•••••• firm change · fact
  • Z•••••• S••••• B•••• left F•••• F•••••••• E••••• C••••••••• for F••••••••• I••••••••• A••••••• L•• (registered 2022-05-11)
    Apr 22, 2022 · a•••••• firm change · fact
  • M••• R••• left F•••• F•••••••• E••••• C••••••••• for C••• F•••••••• S•••••••• L••• (registered 2023-04-20)
    Apr 22, 2022 · a•••••• firm change · fact
  • 2 advisors left F•••• F•••••••• E••••• C••••••••• (Scottsdale, AZ) for F••••••••• I••••••••• A••••••• L•• within 3 days
    Apr 22, 2022 · Team lift-out · derived
  • J••• P• P••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • A••••• J••••• L••••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • P•••••• H••••• W•••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • J••• K••• W•••••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • J••• P••• B•••••••• left F•••• F•••••••• E••••• C••••••••• for D••••• P••• L•• (registered 2015-01-22)
    Apr 20, 2022 · a•••••• firm change · fact
  • J•••• R•••••• S••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • R••• T••••• R••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
    Apr 20, 2022 · a•••••• firm change · fact
  • 3 advisors left F•••• F•••••••• E••••• C••••••••• (Scottsdale, AZ) for C••••• A•••••• N••••••• L•• on the same day
    Apr 20, 2022 · Team lift-out · derived
  • E••••• N••••• G••••• left F•••• F•••••••• E••••• C••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-04-04)
    Apr 7, 2022 · a•••••• firm change · fact
  • G•••••• A•••• E•••••• left F•••• F•••••••• E••••• C••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-04-04)
    Apr 7, 2022 · a•••••• firm change · fact
  • S•••••• M•••••• J••• left F•••• F•••••••• E••••• C••••••••• for N••••••••• W••••• M••••••••• (registered 2022-04-13)
    Apr 7, 2022 · a•••••• firm change · fact
  • B•••••• J•••••• G••••• left F•••• F•••••••• E••••• C••••••••• for Apeiron (registered 2022-04-06)
    Apr 6, 2022 · a•••••• firm change · fact
  • L••• J•••••• R•••• left F•••• F•••••••• E••••• C••••••••• for L•• F•••••••• L•• (registered 2022-03-21)
    Apr 4, 2022 · a•••••• firm change · fact
  • A••• M•••• P•••• left F•••• F•••••••• E••••• C••••••••• for L•• F•••••••• L•• (registered 2022-03-21)
    Apr 4, 2022 · a•••••• firm change · fact
Across DFX
shared identifiers only, never a name match
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
Across the graphs

F•••• F•••••••• E••••• C••••••••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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