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
A•• C••••••
Legal name T•• A••••••• I•••••••• F•• A••••••• I••••••••• M••••••••• L••
Latest filing Feb 21, 2026
First filing on the tape Sep 10, 2012 · 29 filings
SEC status approved since Oct 4, 2012
RAUM
$309M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
96%
$298M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
2
2 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$309M as of Feb 21, 2026
Feb 6, 2013$140M then
HNW client RAUM$270M as of Feb 21, 2026
Mar 21, 2018$146M then
State-registered IARs (5.B.3)2 as of Feb 21, 2026
Feb 6, 20130 then
Employees (5.A)2 as of Feb 21, 2026
Feb 6, 20133 then
Private funds: no history
RAUM +6.2% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $684,317derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $474,231reportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M87%
- Individuals$27.9M9.0%
- Charitable organizations$8.1M2.6%
- Pension and profit-sharing plans$3.0M1.0%
- Individual clients
- 102reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 452reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $309M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•••• H•••Certified Financial Planner | Scottsdale, Az | Oct 4, 2012 | 32 y | 0 |
| P••••• L•• N••••Certified Financial Planner, Chartered Financial Consultant | Scottsdale, Az | Oct 9, 2012 | 32 y | 1 |
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
none on the tape
Joined, latest
- P••••• L•• N•••• from C•••••• S••••• • C••• I•••Oct 9, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• W••••••• F•••• · Managing General Partnercontrolsince 08/2012 · owns less than 5%
- N••••• P•••••• L•• · Managing General Partner, Chief Compliance Officercontrolsince 08/2012 · owns less than 5%
- H•••• W••••••• F•••• · Owner, Managing Membercontrolsince 08/2012 · owns 75% or more of T•• H••• I••••••••• G••••• L••
- N••••• P•••••• L•• · Owner, Managing Membercontrolsince 08/2012 · owns 75% or more of P•• I••••••••• S••••••••• L••
Entity owners
- P•• I••••••••• S••••••••• L•• · General Partnerdirect · owns 50% to 75%
- T•• H••• I••••••••• G••••• L•• · General Partnerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 2 | 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
- HNW share shiftChange between filings · filing Feb 21, 2026HNW share of RAUM moved from 7.0% to 87.0% between the annual amendments of 2025-02-26 and 2026-02-21peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 453 to 452Feb 26, 2025 to Feb 21, 2026
- Charity clients · 0 to 10Feb 26, 2025 to Feb 21, 2026
- Corporate clients · 10 to 0Feb 26, 2025 to Feb 21, 2026
- HNW clients · 85 to 134Feb 26, 2025 to Feb 21, 2026
- Individual clients · 158 to 102Feb 26, 2025 to Feb 21, 2026
- Discretionary RAUM · $261M to $278MFeb 26, 2025 to Feb 21, 2026
- HNW RAUM · $19.8M to $270MFeb 26, 2025 to Feb 21, 2026
- Individual RAUM · $261M to $27.9MFeb 26, 2025 to Feb 21, 2026
- Non-discretionary RAUM · $29.8M to $31.0MFeb 26, 2025 to Feb 21, 2026
- Pension RAUM · $2.7M to $3.0MFeb 26, 2025 to Feb 21, 2026
- RAUM · $291M to $309MFeb 26, 2025 to Feb 21, 2026
- Wrap assets (manager) · $291M to $309MFeb 26, 2025 to Feb 21, 2026
- Accounts · 436 to 453Mar 15, 2024 to Feb 26, 2025
- HNW clients · 117 to 85Mar 15, 2024 to Feb 26, 2025
- Individual clients · 112 to 158Mar 15, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 1-10Mar 15, 2024 to Feb 26, 2025
- Discretionary RAUM · $225M to $261MMar 15, 2024 to Feb 26, 2025
- HNW RAUM · $220M to $19.8MMar 15, 2024 to Feb 26, 2025
- Individual RAUM · $25.1M to $261MMar 15, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $29.8M to $29.8MMar 15, 2024 to Feb 26, 2025
- Pension RAUM · $2.4M to $2.7MMar 15, 2024 to Feb 26, 2025
- RAUM · $254M to $291MMar 15, 2024 to Feb 26, 2025
- Wrap assets (manager) · $254M to $291MMar 15, 2024 to Feb 26, 2025
- Accounts · 449 to 436Mar 3, 2023 to Feb 24, 2024
- HNW clients · 140 to 117Mar 3, 2023 to Feb 24, 2024
- Individual clients · 81 to 112Mar 3, 2023 to Feb 24, 2024
- Discretionary RAUM · $207M to $225MMar 3, 2023 to Feb 24, 2024
- HNW RAUM · $201M to $220MMar 3, 2023 to Feb 24, 2024
- Individual RAUM · $16.1M to $25.1MMar 3, 2023 to Feb 24, 2024
- Non-discretionary RAUM · $19.1M to $29.8MMar 3, 2023 to Feb 24, 2024
- Pension RAUM · $2.8M to $2.4MMar 3, 2023 to Feb 24, 2024
- RAUM · $226M to $254MMar 3, 2023 to Feb 24, 2024
- Wrap assets (manager) · $225M to $254MMar 3, 2023 to Feb 24, 2024
- Accounts · 421 to 449Mar 10, 2022 to Mar 3, 2023
- Corporate clients · 12 to 10Mar 10, 2022 to Mar 3, 2023
- HNW clients · 142 to 140Mar 10, 2022 to Mar 3, 2023
- Individual clients · 79 to 81Mar 10, 2022 to Mar 3, 2023
- Employees · 3 to 2Mar 10, 2022 to Mar 3, 2023
- Discretionary RAUM · $245M to $207MMar 10, 2022 to Mar 3, 2023
- HNW RAUM · $235M to $201MMar 10, 2022 to Mar 3, 2023
Signals
1 dated events
- A•• C•••••• filed its initial SEC registration (Form ADV)Sep 10, 2012 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 480-346-1555reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-346-1556reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.a•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-346-1556reportedpublic record, Form ADV, Feb 21, 2026
- Contact form
- a•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026