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.
SEC-registered adviser
Financial Partners, LLC
Latest filing Mar 31, 2026
First filing on the tape Feb 27, 2017 · 22 filings
SEC status approved since Mar 6, 2017
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$182M as of Mar 31, 2026
Feb 6, 2018$127M then
HNW client RAUM$120M as of Mar 31, 2026
Feb 6, 2018$68.5M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Feb 6, 20188 then
Employees (5.A)4 as of Mar 31, 2026
Feb 6, 20188 then
Private funds: no history
RAUM +25% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $678,079derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- +41%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $950,000, 4 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M66%
- Individuals$61.5M34%
- Individual clients
- 203reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 268reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $950,000 for 4 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 |
|---|---|---|---|---|
| Peter Denis MurphyCertified Financial Planner | Santa Fe, Nm | Oct 24, 2016 | 22 y | 2 |
| Silas Michael Peterson | Santa Fe, Nm | Apr 4, 2022 | 22 y | 0 |
| Gregory A MyersCertified Financial Planner | Santa Fe, Nm | Mar 8, 2024 | 23 y | 5 |
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
- Gonzalo Rufatt to Altamira Financial Group, LLCJan 3, 2022 · RIA to a newly registered adviser
- William R. Douglas to Western Wealth Management LLCJan 3, 2022 · RIA to RIA
- Kerry Douglas Lee to Altamira Financial Group, LLCJan 3, 2022 · RIA to a newly registered adviser
- David George Risser to Altamira Financial Group, LLCJan 3, 2022 · RIA to a newly registered adviser
- Christopher Paul Prien to Questar Asset Management, Inc.May 20, 2016 · Other
- Katrina Suzette Johnson to LPL Financial LLCFeb 29, 2016 · Other
Joined, latest
- Gregory A Myers from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 8, 2024 · Wirehouse to independent RIA
- Peter Denis Murphy from United Planners' Financial Services Of America A Limited PartnerOct 24, 2016 · Other
- Christopher Paul Prien from Pnc Managed Account Solutions, Inc.May 4, 2015 · Other
- William R. Douglas from Equitable Advisors, LLCAug 7, 2014 · Other
- David George Risser from Morgan StanleyApr 2, 2014 · Other
- Gonzalo Rufatt from Morgan StanleyMar 31, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Altamira Financial Group, LLCJan 3, 2022 · Santa Fe, Nm · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Denis Peter Murphy · Managing Membercontrolsince 01/2022 · owns 25% to 50%
- A Gregory Myers · Partnercontrolsince 04/2024 · owns 25% to 50%
- Michael Silas Peterson · Chief Compliance Officer & Partnercontrolsince 07/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Santa Fe, Nm · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 460.0 to 268.0 (-42.0%) between the annual amendments of 2025-03-19 and 2026-03-31; the peer median change was +5.0% (3688 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 3.7% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-19, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 460 to 268Mar 19, 2025 to Mar 31, 2026
- HNW clients · 35 to 65Mar 19, 2025 to Mar 31, 2026
- Individual clients · 155 to 203Mar 19, 2025 to Mar 31, 2026
- Assets in custody · unset to 950000.0Mar 19, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 19, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 19, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 0Mar 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $146M to $182MMar 19, 2025 to Mar 31, 2026
- HNW RAUM · $83.8M to $120MMar 19, 2025 to Mar 31, 2026
- Individual RAUM · $61.8M to $61.5MMar 19, 2025 to Mar 31, 2026
- RAUM · $146M to $182MMar 19, 2025 to Mar 31, 2026
- Accounts · 391 to 460Aug 14, 2024 to Mar 19, 2025
- HNW clients · 50 to 35Aug 14, 2024 to Mar 19, 2025
- Individual clients · 125 to 155Aug 14, 2024 to Mar 19, 2025
- Assets in custody · 2440397.0 to unsetAug 14, 2024 to Mar 19, 2025
- Employees · 3 to 5Aug 14, 2024 to Mar 19, 2025
- Financial planning clients · 26-50 to 26-50Aug 14, 2024 to Mar 19, 2025
- State-registered IARs · 2 to 3Aug 14, 2024 to Mar 19, 2025
- Discretionary RAUM · $121M to $146MAug 14, 2024 to Mar 19, 2025
- HNW RAUM · $88.4M to $83.8MAug 14, 2024 to Mar 19, 2025
- Individual RAUM · $33.0M to $61.8MAug 14, 2024 to Mar 19, 2025
- RAUM · $121M to $146MAug 14, 2024 to Mar 19, 2025
- Accounts · 363 to 391Sep 28, 2023 to Feb 20, 2024
- HNW clients · 38 to 50Sep 28, 2023 to Feb 20, 2024
- Individual clients · 128 to 125Sep 28, 2023 to Feb 20, 2024
- Assets in custody · unset to 2440397.0Sep 28, 2023 to Feb 20, 2024
- Employees · 4 to 3Sep 28, 2023 to Feb 20, 2024
- Financial planning clients · 101-250 to 26-50Sep 28, 2023 to Feb 20, 2024
- State-registered IARs · 3 to 2Sep 28, 2023 to Feb 20, 2024
- Discretionary RAUM · $99.5M to $121MSep 28, 2023 to Feb 20, 2024
- HNW RAUM · $68.5M to $88.4MSep 28, 2023 to Feb 20, 2024
- Individual RAUM · $31.1M to $33.0MSep 28, 2023 to Feb 20, 2024
- RAUM · $99.5M to $121MSep 28, 2023 to Feb 20, 2024
- Wrap assets (manager) · 0.0 to unsetSep 28, 2023 to Feb 20, 2024
- Wrap assets (sponsor) · 9437703.0 to unsetSep 28, 2023 to Feb 20, 2024
- Accounts · 354 to 363Feb 10, 2022 to Jan 23, 2023
- Advisory employees · 2 to 3Feb 10, 2022 to Jan 23, 2023
- HNW clients · 31 to 38Feb 10, 2022 to Jan 23, 2023
- Individual clients · 138 to 128Feb 10, 2022 to Jan 23, 2023
- Financial planning clients · 51-100 to 101-250Feb 10, 2022 to Jan 23, 2023
Signals
10 dated events
- A Gregory Myers (Partner) appeared on Schedule A of Financial Partners, LlcApr 8, 2024 · Control person joined · fact
- Arthur Charles Goodman (Principal/Cco/Member) no longer on Schedule A of Financial Partners, Llc (listed 2023-01-23, absent 2023-08-11)Aug 11, 2023 · Control person left · inference
- Michael Silas Peterson (Chief Compliance Officer & Partner) appeared on Schedule A of Financial Partners, LlcAug 11, 2023 · Control person joined · fact
- Denis Peter Murphy (Managing Member) appeared on Schedule A of Financial Partners, LlcFeb 10, 2022 · Control person joined · fact
- Kerry Douglas Lee left Financial Partners, Llc for Altamira Financial Group, Llc (registered 2021-12-21)Jan 3, 2022 · Advisor changed firm · fact
- David George Risser left Financial Partners, Llc for Altamira Financial Group, Llc (registered 2022-01-07)Jan 3, 2022 · Advisor changed firm · fact
- Gonzalo Rufatt left Financial Partners, Llc for Altamira Financial Group, Llc (registered 2022-01-04)Jan 3, 2022 · Advisor changed firm · fact
- William R. Douglas left Financial Partners, Llc for Western Wealth Management Llc (registered 2021-12-10)Jan 3, 2022 · Advisor changed firm · fact
- Financial Partners, LLC's advisors moved to Altamira Financial Group, LLC (Santa FE, NM): 3 of 5 registered, on the same dayJan 3, 2022 · Firm absorbed (people side) · derived
- Financial Partners, Llc filed its initial SEC registration (Form ADV)Feb 27, 2017 · 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
- Business email
- info@financialpartnersnm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 505-795-7910reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- financialpartnersnm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 505-795-7910reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- financialpartnersnm.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $60.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026