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

P••••••••• W••••• M••••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 165387SEC 801-78090IAPD
Latest filing Sep 17, 2013
First filing on the tape May 15, 2013 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Sep 17, 2013
May 15, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 17, 2013
May 15, 20131 then
Employees (5.A)5 as of Sep 17, 2013
May 15, 20135 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 2013; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, fixed fees, performance-basedreportedItem 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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••••• D••• C• · Senior Vice Presidentcontrol
    since 06/2013 · owns less than 5%
  • C•••••• C••••••••• D•••• · Presidentcontrol
    since 05/2013 · owns less than 5%
  • L•••••• K•••••• · Chief Compliance Officercontrol
    since 05/2013 · owns less than 5%
  • P••••• S•• · Senior Vice Presidentcontrol
    since 06/2013 · owns less than 5%
  • D•••• D•••••• J•••• · Managing Membercontrol
    since 10/2010 · owns 50% to 75% of D&D Capital, LLC
  • S•••••• R•••••• L•• · Managing Membercontrol
    since 08/2011 · owns 50% to 75% of S••••• C•••••• P•••••••• L••
Entity owners
  • P•• M••••••••• L•• · Owner
    direct · owns 75% or more
  • D• • D• C••••••• L•• · Owner
    indirect · owns 25% to 50% of P•• M••••••••• L••
  • S••••• C•••••• P•••••••• L•• · Owner
    indirect · owns 25% to 50% of P•• M••••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 1 to 3
    May 15, 2013 to Jul 22, 2013
  • Business name · A•••••• F•••••••• A•••••••• I••• to P••••••••• W••••• M••••••••• L••
    May 15, 2013 to May 15, 2013
  • Legal name · A•••••• F•••••••• A•••••••• I••• to P••••••••• W••••• M••••••••• L••
    May 15, 2013 to May 15, 2013
Signals
1 dated events
  • A•••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    May 15, 2013 · 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