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
I•••••••• V•••• P•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 4, 2012 · 31 filings
SEC status approved since Jun 11, 2013
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$221M as of Mar 23, 2026
Mar 11, 2014$117M then
HNW client RAUM$212M as of Mar 23, 2026
Mar 30, 2018$123M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 11, 20143 then
Employees (5.A)3 as of Mar 23, 2026
Mar 11, 20143 then
Private funds: no history
RAUM +25% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- $73.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $92.6M, 36 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)
- 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
- High-net-worth individuals$212M96%
- Individuals$8.7M4.0%
- Individual clients
- 23reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 193reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $92.6M for 36 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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 |
|---|---|---|---|---|
| D••••• S••••• F••••Chartered Financial Analyst | Phoenix, Az | Dec 14, 2012 | 22 y | 1 |
| C••••• A•••• P••••Chartered Financial Analyst | Phoenix, Az | Dec 17, 2012 | 32 y | 1 |
| V•••••• L•• M••••••••• | Phoenix, Az | May 30, 2026 | 28 y | 0 |
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
- C••••• A•••• P•••• from P•••••• F•••••••• M••••••••• I••Dec 17, 2012 · Other
- D••••• S••••• F•••• from P•••••• F•••••••• M••••••••• I••Dec 14, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• D•••••• S••••• · Managing Member, Member, Ccocontrolsince 01/2013 · owns 5% to 10%
- P••••• C•••••• A•••• · Managing Member, Member, Ceocontrolsince 08/2012 · owns 75% or more
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 · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 191 to 193Mar 26, 2025 to Mar 23, 2026
- HNW clients · 45 to 48Mar 26, 2025 to Mar 23, 2026
- Individual clients · 27 to 23Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $59.0M to $92.6MMar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $176M to $221MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $166M to $212MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $10.0M to $8.7MMar 26, 2025 to Mar 23, 2026
- RAUM · $176M to $221MMar 26, 2025 to Mar 23, 2026
- Accounts · 201 to 191Mar 26, 2024 to Mar 26, 2025
- HNW clients · 42 to 45Mar 26, 2024 to Mar 26, 2025
- Individual clients · 32 to 27Mar 26, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $57.6M to $59.0MMar 26, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $160M to $176MMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $146M to $166MMar 26, 2024 to Mar 26, 2025
- Individual RAUM · $13.4M to $10.0MMar 26, 2024 to Mar 26, 2025
- RAUM · $160M to $176MMar 26, 2024 to Mar 26, 2025
- Accounts · 209 to 201Oct 31, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2Oct 31, 2023 to Mar 26, 2024
- HNW clients · 41 to 42Oct 31, 2023 to Mar 26, 2024
- Individual clients · 36 to 32Oct 31, 2023 to Mar 26, 2024
- Assets in custody · $45.2M to $57.6MOct 31, 2023 to Mar 26, 2024
- Employees · 4 to 3Oct 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $136M to $160MOct 31, 2023 to Mar 26, 2024
- HNW RAUM · $123M to $146MOct 31, 2023 to Mar 26, 2024
- Individual RAUM · $13.0M to $13.4MOct 31, 2023 to Mar 26, 2024
- RAUM · $136M to $160MOct 31, 2023 to Mar 26, 2024
- Accounts · 210 to 209Mar 30, 2022 to Mar 28, 2023
- HNW clients · 45 to 41Mar 30, 2022 to Mar 28, 2023
- Individual clients · 34 to 36Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $63.8M to $45.2MMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $183M to $136MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $166M to $123MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $13.8M to $13.0MMar 30, 2022 to Mar 28, 2023
- Pension RAUM · 3343990.0 to unsetMar 30, 2022 to Mar 28, 2023
- RAUM · $183M to $136MMar 30, 2022 to Mar 28, 2023
- Accounts · 196 to 210Mar 24, 2021 to Mar 30, 2022
- Advisory employees · 2 to 3Mar 24, 2021 to Mar 30, 2022
- Individual clients · 32 to 34Mar 24, 2021 to Mar 30, 2022
Signals
1 dated events
- I•••••••• V•••• P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 4, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (480) 522-2032reportedpublic record, Form ADV, Mar 23, 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
- $73.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026