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••••••••• L••

Institutional managerPhoenix, ArizonaCRD 189512SEC 801-136917websiteIAPD
Latest filing Sep 16, 2026
First filing on the tape Jul 16, 2026 · 2 filings
SEC status approved since Aug 5, 2026
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.9%
$12.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.2M
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
2 filings and snapshots on the tape
RAUM$187M as of Sep 16, 2026
Jul 16, 2026$187M then
HNW client RAUM$7.2M as of Sep 16, 2026
Jul 16, 2026$7.2M then
State-registered IARs (5.B.3)3 as of Sep 16, 2026
Jul 16, 20263 then
Employees (5.A)4 as of Sep 16, 2026
Jul 16, 20264 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$62.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$5.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
93%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$174M93%
  • High-net-worth individuals$7.2M3.9%
  • Individuals$5.6M3.0%
Individual clients
24reported
HNW clients
6reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
33reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••••• T••••• O•••••Certified Financial PlannerPhoenix, AzAug 24, 201521 y2
P•••• L••••••• R•••Phoenix, AzOct 14, 201531 y1
D•••• M•••••• R••••Phoenix, AzOct 17, 202417 y2
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
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
    • O•••••• B••••••• T••••• · Managing Member And Chief Compliance Officercontrol
      since 07/2014 · owns 50% to 75%
    • R•••• P••••• L••••••• · Membercontrol
      since 01/2013 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Phoenix, Az · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 0 to 0
      Jul 16, 2026 to Sep 16, 2026
    • Succession · false to unset
      Jul 16, 2026 to Sep 16, 2026
    Signals
    No event on the tape.
    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
    Firm profile
    linkedin.com/company/19055586reportedpublic record, Form ADV, Sep 18, 2026
    Website
    arcwood.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    602-726-6282reportedpublic record, Form ADV, 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
    Institutional managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $62.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026