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•••••••• F••••• O•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 25, 2021 · 15 filings
SEC status approved since Jul 23, 2021
RAUM
$431M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
94%
$405M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$30.8M
derived; firm RAUM over IAPD count
Employees
18
10 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$431M as of Mar 30, 2026
Mar 22, 2022$180M then
HNW client RAUM$326M as of Mar 30, 2026
Mar 22, 2022$125M then
State-registered IARs (5.B.3)12 as of Mar 30, 2026
Mar 22, 20227 then
Employees (5.A)18 as of Mar 30, 2026
Mar 22, 202211 then
Private funds2 as of Mar 30, 2026
Mar 22, 20222 then
RAUM +15% over the last fiscal year+20% a year over threeIARs 12 to 12offices 4 to 8
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $30.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $548,493derivedHNW RAUM over HNW clients
- Average account
- $304,156derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.6derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $4.1M, 1 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M76%
- Individuals$79.0M18%
- Pension and profit-sharing plans$17.3M4.0%
- Pooled investment vehicles$8.0M1.9%
- Individual clients
- 818reported
- HNW clients
- 595reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,416reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.02 institutional_share=0.04 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• F•••••••• S••••• | Marina Del Rey, Ca | Oct 10, 2013 | 22 y | 1 |
| I•••• G•••••••• A•••••• | Marina Del Rey, Ca | Aug 5, 2017 | 27 y | 3 |
| M••• R••• M•••••••Certified Financial Planner | Charlottesville, Va | Dec 23, 2020 | 18 y | 1 |
| D•••• L••• Y•••• | Rochester Hills, Mi | Feb 8, 2022 | 35 y | 3 |
| M•••••• S•••• M••••• | Marina Del Rey, Ca | Jul 15, 2022 | 21 y | 1 |
| C•••••• A•••••• M••••••Certified Financial Planner | Marina Del Rey, Ca | Dec 8, 2023 | 22 y | 4 |
| S•••• S•••••• B••••• | Dallas, Tx | Oct 18, 2024 | 20 y | 0 |
| M•••••• M••••• K•••••• | Marina Del Rey, Ca | Dec 6, 2024 | 27 y | 5 |
| I••••••• L•• J••••••Personal Financial Specialist | Phoenix, Az | Jan 17, 2025 | 12 y | 0 |
| M•••••• R•••••• M•••• V•••••••• | Los Angeles, Ca | Apr 17, 2025 | 11 y | 0 |
| R••••• P•••• Y•••• | Marina Del Rey, Ca | May 26, 2025 | 10 y | 0 |
| J•••• M••••••• C••••••••• | Albany, Ny | Aug 27, 2025 | 10 y | 0 |
| M•••••• J••• M••••••• | Redondo Beach, Ca | Jan 1, 2026 | 26 y | 4 |
| S••• E•••••••• F••••••Certified Financial Planner | Marina Del Rey, Ca | Mar 25, 2026 | 12 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount1 left over 36 months
Left, latest
- B••••••• P••••• to F••••••Nov 11, 2025 · RIA to RIA
- R••• D• S•••• to J••• M••••• S••••••••• L••Mar 2, 2018 · RIA to wirehouse
Joined, latest
- M•••••• J••• M••••••• from K••••• A••••••• S•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• M••••• K•••••• from L•••••••• A•••• M••••••••• L••Dec 6, 2024 · RIA to RIA
- C•••••• A•••••• M•••••• from G•••• L••• I••••••••Dec 8, 2023 · Other
- M•••••• S•••• M••••• from E••••• J••••Jul 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• L••• Y•••• from F•••••••• G•••••• A•••• M••••••••• I•••Feb 8, 2022 · RIA to RIA
- M••• R••• M••••••• from B••• W••••• M••••••••• L••Dec 23, 2020 · Other
- B••••••• P••••• from E• W••••• A•••••••Feb 20, 2019 · RIA to RIA
- R••• D• S•••• from N••••• A•••• M••••••••• L••Aug 5, 2017 · Other
- I•••• G•••••••• A•••••• from K•• P••••••••• A••••••• G••••• L••Aug 5, 2017 · Other
- R•••••• F•••••••• S••••• from J••• M••••• S••••••••• L••Oct 10, 2013 · Wirehouse to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••• F•••• L•• | Hedge Fund | $3.8M | 16 | Jun 25, 2021 |
| A•••••••• R••• E••••• F••• I• L• | Real Estate Fund | $3.4M | 24 | Jun 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• I••••• G•••••••• · Chief Operating Officercontrolsince 05/2017 · owns less than 5%
- M•••••••• M•••• R••• · Managing Membercontrolsince 01/2023 · owns 10% to 25%
- S•••••• R••••••• F•••••••• · Chief Executive Officer & Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- S•••••• R••••••• F•••••••• · Managing Membercontrolsince 05/2014 · owns 75% or more of V••••••• P••••••• H•••••••• L••
Entity owners
- V••••••• P••••••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••••• F••• I• G• L••pooled vehicle sponsorn
- A•••••••• P•••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Marina Del Rey, Ca · principal | 13 | 2 | 1 | ||
| Rochester Hills, Mi | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester Hills, MI3 employees
- Tacoma, WA2 employees
- Charlottesville, VA1 employees
- El Dorado Hills, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 8.0 (+100.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was 0.0% (450 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,434 to 1,416Jan 27, 2026 to Mar 30, 2026
- HNW clients · 534 to 595Jan 27, 2026 to Mar 30, 2026
- Individual clients · 897 to 818Jan 27, 2026 to Mar 30, 2026
- Assets in custody · $4.0M to $4.1MJan 27, 2026 to Mar 30, 2026
- Other offices · 4 to 8Jan 27, 2026 to Mar 30, 2026
- Discretionary RAUM · $347M to $368MJan 27, 2026 to Mar 30, 2026
- HNW RAUM · $260M to $326MJan 27, 2026 to Mar 30, 2026
- Individual RAUM · $92.3M to $79.0MJan 27, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $27.2M to $63.1MJan 27, 2026 to Mar 30, 2026
- Pension RAUM · $13.8M to $17.3MJan 27, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $8.1M to $8.0MJan 27, 2026 to Mar 30, 2026
- RAUM · $374M to $431MJan 27, 2026 to Mar 30, 2026
- Financial planning clients · 11-25 to 11-25Mar 28, 2025 to May 22, 2025
- Accounts · 1,347 to 1,434Nov 11, 2024 to Mar 28, 2025
- HNW clients · 470 to 534Nov 11, 2024 to Mar 28, 2025
- Individual clients · 874 to 897Nov 11, 2024 to Mar 28, 2025
- Assets in custody · $3.8M to $4.0MNov 11, 2024 to Mar 28, 2025
- Employees · 17 to 18Nov 11, 2024 to Mar 28, 2025
- State-registered IARs · 10 to 12Nov 11, 2024 to Mar 28, 2025
- Discretionary RAUM · $285M to $347MNov 11, 2024 to Mar 28, 2025
- HNW RAUM · $202M to $260MNov 11, 2024 to Mar 28, 2025
- Individual RAUM · $87.2M to $92.3MNov 11, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $24.3M to $27.2MNov 11, 2024 to Mar 28, 2025
- Pension RAUM · $12.1M to $13.8MNov 11, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $7.2M to $8.1MNov 11, 2024 to Mar 28, 2025
- RAUM · $309M to $374MNov 11, 2024 to Mar 28, 2025
- Accounts · 1,206 to 1,347Dec 8, 2023 to Mar 25, 2024
- Advisory employees · 9 to 10Dec 8, 2023 to Mar 25, 2024
- HNW clients · 429 to 470Dec 8, 2023 to Mar 25, 2024
- Individual clients · 774 to 874Dec 8, 2023 to Mar 25, 2024
- Assets in custody · $4.5M to $3.8MDec 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $233M to $285MDec 8, 2023 to Mar 25, 2024
- HNW RAUM · $165M to $202MDec 8, 2023 to Mar 25, 2024
- Individual RAUM · $68.8M to $87.2MDec 8, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $19.1M to $24.3MDec 8, 2023 to Mar 25, 2024
- Pension RAUM · $9.7M to $12.1MDec 8, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $7.8M to $7.2MDec 8, 2023 to Mar 25, 2024
- RAUM · $252M to $309MDec 8, 2023 to Mar 25, 2024
- Other offices · 3 to 4Sep 22, 2023 to Dec 8, 2023
- Accounts · 743 to 1,206Feb 8, 2023 to Mar 31, 2023
Signals
4 dated events
- B••••••• P••••• left A•••••••• F••••• O•••••• L•• for Farther (registered 2025-09-25)Nov 11, 2025 · Advisor changed firm · fact
- Gerasimos Irene Apergis (Chief Operating Officer) appeared on Schedule A of A•••••••• F••••• O•••••• L••Mar 31, 2023 · Control person joined · fact
- Ryan Mark Mccarron (Managing Member) appeared on Schedule A of A•••••••• F••••• O•••••• L••Feb 8, 2023 · Control person joined · fact
- A•••••••• F••••• O•••••• L•• filed its initial SEC registration (Form ADV)Jun 25, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••••• F••••• O•••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@arrowrootadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 833-224-2249reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/arrowroot-michiganreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/arrowrootadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- arrowrootadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-224-2249reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- arrowrootadvisors.com/team-directoryreportedpublished 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
- $30.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A•••••••• F••••• O•••••• L•• 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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