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
D•••••• W••••• A•••••••
Latest filing Aug 26, 2026
First filing on the tape Nov 1, 2022 · 7 filings
SEC status approved since Dec 2, 2022
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$193M as of Aug 26, 2026
Jun 30, 2023$109M then
HNW client RAUM$123M as of Aug 26, 2026
Jun 30, 2023$68.5M then
State-registered IARs (5.B.3)4 as of Aug 26, 2026
Jun 30, 20233 then
Employees (5.A)4 as of Aug 26, 2026
Jun 30, 20233 then
Private funds: no history
RAUM +78% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Aug 26, 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
- 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
- RAUM per advisor
- $48.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $244,124derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$123M63%
- Individuals$70.7M37%
- Individual clients
- 266reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 792reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• C•••••• C•••••• | Heber City, Ut | Jan 3, 2014 | 38 y | 4 |
| G•••• S•••••• H••••• | Surprise, Az | Jul 18, 2014 | 14 y | 1 |
| G••• L••• L•••Certified Financial Planner | Surprise, Az | Jan 5, 2015 | 20 y | 1 |
| J••• R••• S••••• | South Jordan, Ut | Oct 1, 2024 | 17 y | 2 |
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
- J••• R••• S••••• from P••• A••••• S••••••••• L••Oct 1, 2024 · Other
- G••• L••• L••• from K•• F•••••••• S•••••••• I••Jan 5, 2015 · Other
- G•••• S•••••• H••••• from K•• F•••••••• S•••••••• I••Jul 18, 2014 · Other
- A••• C•••••• C•••••• from K•• F•••••••• S•••••••• I••Jan 3, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••• C•••••• · President, Treasurer, Chief Investment Officer, Chief Compliance Officercontrolsince 06/2012 · 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 |
|---|---|---|---|---|---|
| Surprise, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 829 to 792Jun 30, 2025 to Aug 26, 2026
- HNW clients · 36 to 49Jun 30, 2025 to Aug 26, 2026
- Individual clients · 268 to 266Jun 30, 2025 to Aug 26, 2026
- Discretionary RAUM · $140M to $193MJun 30, 2025 to Aug 26, 2026
- HNW RAUM · $75.8M to $123MJun 30, 2025 to Aug 26, 2026
- Individual RAUM · $64.2M to $70.7MJun 30, 2025 to Aug 26, 2026
- RAUM · $140M to $193MJun 30, 2025 to Aug 26, 2026
- Accounts · 685 to 829Jun 27, 2024 to Jun 30, 2025
- Advisory employees · 3 to 4Jun 27, 2024 to Jun 30, 2025
- HNW clients · 58 to 36Jun 27, 2024 to Jun 30, 2025
- Individual clients · 208 to 268Jun 27, 2024 to Jun 30, 2025
- Employees · 3 to 4Jun 27, 2024 to Jun 30, 2025
- Financial planning clients · 0 to 0Jun 27, 2024 to Jun 30, 2025
- State-registered IARs · 3 to 4Jun 27, 2024 to Jun 30, 2025
- Discretionary RAUM · $126M to $140MJun 27, 2024 to Jun 30, 2025
- HNW RAUM · $79.7M to $75.8MJun 27, 2024 to Jun 30, 2025
- Individual RAUM · $46.2M to $64.2MJun 27, 2024 to Jun 30, 2025
- RAUM · $126M to $140MJun 27, 2024 to Jun 30, 2025
- Accounts · 271 to 685Nov 9, 2023 to Jun 27, 2024
- HNW clients · 56 to 58Nov 9, 2023 to Jun 27, 2024
- Individual clients · 214 to 208Nov 9, 2023 to Jun 27, 2024
- Discretionary RAUM · $109M to $126MNov 9, 2023 to Jun 27, 2024
- HNW RAUM · $68.5M to $79.7MNov 9, 2023 to Jun 27, 2024
- Individual RAUM · $39.1M to $46.2MNov 9, 2023 to Jun 27, 2024
- Pension RAUM · 1179853.0 to unsetNov 9, 2023 to Jun 27, 2024
- RAUM · $109M to $126MNov 9, 2023 to Jun 27, 2024
- Accounts · 631 to 271Nov 1, 2022 to Jun 30, 2023
- HNW clients · 42 to 56Nov 1, 2022 to Jun 30, 2023
- Individual clients · 340 to 214Nov 1, 2022 to Jun 30, 2023
- Discretionary RAUM · $123M to $109MNov 1, 2022 to Jun 30, 2023
- HNW RAUM · $62.3M to $68.5MNov 1, 2022 to Jun 30, 2023
- Individual RAUM · $61.1M to $39.1MNov 1, 2022 to Jun 30, 2023
- Pension RAUM · unset to 1179853.0Nov 1, 2022 to Jun 30, 2023
- RAUM · $123M to $109MNov 1, 2022 to Jun 30, 2023
Signals
1 dated events
- D•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Nov 1, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••••• W••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 623-466-6060reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 623-466-6575reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- D••••••WEALTHMGT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 623-466-6060reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $48.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026