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

S••••••••• A•••• M••••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 167798SEC 801-78166IAPD
Latest filing Feb 17, 2023
First filing on the tape May 31, 2013 · 61 filings
RAUM
$405M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
89%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$405M as of Feb 6, 2023
Jan 23, 2014$99.0M then
HNW client RAUM$279M as of Feb 6, 2023
Mar 19, 2018$113M then
State-registered IARs (5.B.3)3 as of Feb 6, 2023
Jan 23, 20144 then
Employees (5.A)9 as of Feb 6, 2023
Jan 23, 20144 then
Private funds: no history
RAUM +3.1% over the last fiscal year+20% a year over threeIARs 11 to 3offices 2 to 1
Practice profile
derived from the filing of Feb 17, 2023; every figure names its basis
RAUM per advisor
$135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
144derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$125,442derivedRAUM over accounts (5.F.2.f)
Discretionary
61%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
-73%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$279M69%
  • Individuals$82.6M20%
  • Charitable organizations$44.0M11%
Individual clients
243reported
HNW clients
190reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,230reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    • L•••• J•••••• J••• · Ceo, President, Ccocontrol
      since 01/2022 · owns less than 5%
    • M••••••• P•••• J•••••••• · Founding Partnercontrol
      since 02/2017 · owns less than 5%
    • L•••• J•••••• J••• · Ownercontrol
      since 01/2022 · owns 50% to 75% of Silverhawk Enterprises, LLC
    Entity owners
    • S••••••••• E••••••••• L•• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • S••••••••• I•••••••• S•••••••• L••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Fairfield Glade, Tn000
    Scottsdale, Az · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Newport Beach, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,074 to 3,230
      Sep 28, 2022 to Feb 6, 2023
    • Advisory employees · 9 to 3
      Sep 28, 2022 to Feb 6, 2023
    • Advisory activities · 3 to 4
      Sep 28, 2022 to Feb 6, 2023
    • Charity clients · 2.0 to unset
      Sep 28, 2022 to Feb 6, 2023
    • HNW clients · 204 to 190
      Sep 28, 2022 to Feb 6, 2023
    • Individual clients · 209 to 243
      Sep 28, 2022 to Feb 6, 2023
    • Assets in custody · 668028.0 to unset
      Sep 28, 2022 to Feb 6, 2023
    • Custody of client assets · true to false
      Sep 28, 2022 to Feb 6, 2023
    • Employees · 16 to 9
      Sep 28, 2022 to Feb 6, 2023
    • Financial planning clients · 101-250 to 51-100
      Sep 28, 2022 to Feb 6, 2023
    • State-registered IARs · 11 to 3
      Sep 28, 2022 to Feb 6, 2023
    • Discretionary RAUM · $228M to $247M
      Sep 28, 2022 to Feb 6, 2023
    • HNW RAUM · $295M to $279M
      Sep 28, 2022 to Feb 6, 2023
    • Individual RAUM · $48.7M to $82.6M
      Sep 28, 2022 to Feb 6, 2023
    • Non-discretionary RAUM · $165M to $158M
      Sep 28, 2022 to Feb 6, 2023
    • RAUM · $393M to $405M
      Sep 28, 2022 to Feb 6, 2023
    • Other offices · 2 to 1
      Mar 30, 2022 to Sep 28, 2022
    • Accounts · 2,710 to 3,074
      Nov 2, 2021 to Mar 30, 2022
    • Advisory employees · 13 to 9
      Nov 2, 2021 to Mar 30, 2022
    • HNW clients · 176 to 204
      Nov 2, 2021 to Mar 30, 2022
    • Individual clients · 173 to 209
      Nov 2, 2021 to Mar 30, 2022
    • Assets in custody · $665,868 to $668,028
      Nov 2, 2021 to Mar 30, 2022
    • Employees · 13 to 16
      Nov 2, 2021 to Mar 30, 2022
    • Insurance-licensed employees · 5 to 0
      Nov 2, 2021 to Mar 30, 2022
    • Financial planning clients · 51-100 to 101-250
      Nov 2, 2021 to Mar 30, 2022
    • State-registered IARs · 13 to 11
      Nov 2, 2021 to Mar 30, 2022
    • Discretionary RAUM · $174M to $228M
      Nov 2, 2021 to Mar 30, 2022
    • HNW RAUM · $197M to $295M
      Nov 2, 2021 to Mar 30, 2022
    • Individual RAUM · $41.8M to $48.7M
      Nov 2, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $106M to $165M
      Nov 2, 2021 to Mar 30, 2022
    • RAUM · $279M to $393M
      Nov 2, 2021 to Mar 30, 2022
    • Other offices · 3 to 2
      Oct 15, 2021 to Nov 2, 2021
    • Accounts · 2,837 to 2,710
      Jun 29, 2021 to Oct 15, 2021
    • HNW clients · 208 to 176
      Jun 29, 2021 to Oct 15, 2021
    • Individual clients · 206 to 173
      Jun 29, 2021 to Oct 15, 2021
    • Pension plan clients · 0.0 to unset
      Jun 29, 2021 to Oct 15, 2021
    • Discretionary RAUM · $146M to $174M
      Jun 29, 2021 to Oct 15, 2021
    • HNW RAUM · $228M to $197M
      Jun 29, 2021 to Oct 15, 2021
    • Individual RAUM · $55.4M to $41.8M
      Jun 29, 2021 to Oct 15, 2021
    • Non-discretionary RAUM · $181M to $106M
      Jun 29, 2021 to Oct 15, 2021
    Signals
    12 dated events
    • Joseph John Laux left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-18)
      Mar 19, 2024 · Advisor changed firm · fact
    • Scott Ashley Hadley left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-05)
      Mar 19, 2024 · Advisor changed firm · fact
    • Zachary Parker Green left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-18)
      Mar 19, 2024 · Advisor changed firm · fact
    • Rhiana Marlene Whitmire left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-19)
      Mar 19, 2024 · Advisor changed firm · fact
    • Shanna Marie Templeton left Silverhawk Asset Management, Llc for Ausdal Financial Partners, Inc. (registered 2014-06-05)
      Mar 19, 2024 · Advisor changed firm · fact
    • Nicholas Martin Fisher left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-18)
      Mar 19, 2024 · Advisor changed firm · fact
    • Paul Johnathan Mershon left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-16)
      Mar 19, 2024 · Advisor changed firm · fact
    • Silverhawk Asset Management, LLC's advisors moved to Cwm, LLC (Scottsdale, AZ): 5 of 7 registered, on the same day
      Mar 19, 2024 · Firm absorbed (people side) · derived
    • Kaitlyn Marie Laney left Silverhawk Asset Management, Llc for Cwm, Llc (registered 2023-05-18)
      Jun 30, 2023 · Advisor changed firm · fact
    • John Joseph Laux (Ceo, President, Cco) appeared on Schedule A of Silverhawk Asset Management, Llc
      Mar 30, 2022 · Control person joined · fact
    • Silverhawk Asset Management, Llc reported RAUM $393.1M, up 41% from $279.3M (2021-11-02 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • Silverhawk Asset Management, Llc filed its initial SEC registration (Form ADV)
      May 31, 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