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
M••••• W••••• M•••••••••
Legal name L•••• M••••• F•••••••• P•••••••• L•••••
Latest filing Mar 4, 2026
First filing on the tape Jul 12, 2023 · 12 filings
SEC status approved since Aug 11, 2023
RAUM
$213M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$199M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$213M as of Mar 4, 2026
Mar 26, 2024$160M then
HNW client RAUM$119M as of Mar 4, 2026
Mar 26, 2024$76.3M then
State-registered IARs (5.B.3)5 as of Mar 4, 2026
Mar 26, 20244 then
Employees (5.A)5 as of Mar 4, 2026
Mar 26, 20244 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 4, 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
- RAUM per advisor
- $42.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $302,729derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 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
- -0.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $57.5M, 93 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M56%
- Individuals$80.1M38%
- Pension and profit-sharing plans$11.8M5.6%
- Charitable organizations$1.8M0.8%
- Individual clients
- 229reported
- HNW clients
- 75reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 703reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.5M for 93 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• L•• M•••••Certified Financial Planner | Phoenix, Az | Mar 17, 2015 | 33 y | 0 |
| J••••••• L••• P••••••• | Broadlands, Va | May 7, 2015 | 22 y | 2 |
| P•••••• J• A•••• | Phoenix, Az | Aug 25, 2016 | 37 y | 1 |
| C•••••• M•••••• M••••• | Phoenix, Az | Aug 27, 2021 | 21 y | 0 |
| B•••• R•••••• | Lake Forest, Ca | Mar 5, 2025 | 10 y | 1 |
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
- R•••••• L•••• R•••••• to V••••••• A•••••••• I•••Sep 7, 2016 · Other
Joined, latest
- B•••• R•••••• from T••••••• I••••••••• M••••••••• I•••Mar 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• J• A•••• from T••••••••• F•••••••• A•••••••• L••Aug 25, 2016 · Other
- J••••••• L••• P••••••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••May 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• L••••• L•• · Managing Member And Chief Compliance Officercontrolsince 11/2004 · 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 |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ventura, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 691 to 703Nov 11, 2025 to Mar 4, 2026
- HNW clients · 61 to 75Nov 11, 2025 to Mar 4, 2026
- Individual clients · 244 to 229Nov 11, 2025 to Mar 4, 2026
- Pension plan clients · 5 to 6Nov 11, 2025 to Mar 4, 2026
- Assets in custody · $45.0M to $57.5MNov 11, 2025 to Mar 4, 2026
- Discretionary RAUM · $177M to $200MNov 11, 2025 to Mar 4, 2026
- HNW RAUM · $94.9M to $119MNov 11, 2025 to Mar 4, 2026
- Individual RAUM · $81.5M to $80.1MNov 11, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $6.0M to $12.7MNov 11, 2025 to Mar 4, 2026
- Pension RAUM · $5.2M to $11.8MNov 11, 2025 to Mar 4, 2026
- RAUM · $183M to $213MNov 11, 2025 to Mar 4, 2026
- Assets in custody · $43.4M to $45.0MNov 27, 2024 to Apr 23, 2025
- Employees · 4 to 5Nov 27, 2024 to Apr 23, 2025
- Insurance-licensed employees · 1 to 0Nov 27, 2024 to Apr 23, 2025
- Financial planning clients · 1-10 to 1-10Nov 27, 2024 to Apr 23, 2025
- State-registered IARs · 4 to 5Nov 27, 2024 to Apr 23, 2025
- Other offices · 2 to 3Nov 27, 2024 to Apr 23, 2025
- Discretionary RAUM · $154M to $177MNov 27, 2024 to Apr 23, 2025
- HNW RAUM · $76.3M to $94.9MNov 27, 2024 to Apr 23, 2025
- Accounts · 698 to 691Nov 27, 2024 to Apr 23, 2025
- Advisory employees · 4 to 5Nov 27, 2024 to Apr 23, 2025
- BD registered reps · 4 to 5Nov 27, 2024 to Apr 23, 2025
- HNW clients · 58 to 61Nov 27, 2024 to Apr 23, 2025
- Individual clients · 254 to 244Nov 27, 2024 to Apr 23, 2025
- Individual RAUM · $78.0M to $81.5MNov 27, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $5.9M to $6.0MNov 27, 2024 to Apr 23, 2025
- Pension RAUM · $4.3M to $5.2MNov 27, 2024 to Apr 23, 2025
- RAUM · $160M to $183MNov 27, 2024 to Apr 23, 2025
- Accounts · 471 to 698Jan 5, 2024 to Mar 26, 2024
- HNW clients · 33 to 58Jan 5, 2024 to Mar 26, 2024
- Individual clients · 177 to 254Jan 5, 2024 to Mar 26, 2024
- Pension plan clients · unset to 5.0Jan 5, 2024 to Mar 26, 2024
- Assets in custody · $34.3M to $43.4MJan 5, 2024 to Mar 26, 2024
- Other offices · 1 to 2Jan 5, 2024 to Mar 26, 2024
- Discretionary RAUM · $106M to $154MJan 5, 2024 to Mar 26, 2024
- HNW RAUM · $49.8M to $76.3MJan 5, 2024 to Mar 26, 2024
- Individual RAUM · $56.7M to $78.0MJan 5, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $3.8M to $5.9MJan 5, 2024 to Mar 26, 2024
- Pension RAUM · $3.0M to $4.3MJan 5, 2024 to Mar 26, 2024
- RAUM · $110M to $160MJan 5, 2024 to Mar 26, 2024
Signals
1 dated events
- M••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 12, 2023 · 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 phone
- 602-393-0501reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-391-6075reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-817-9406reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M•••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- M•••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 602-393-0501reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- mathiswealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mathiswealth.com/our-teamreportedpublished 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
- $42.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026