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
I••••••• W••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape May 6, 2015 · 47 filings
SEC status approved since May 15, 2015
RAUM
$608M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$606M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$608M as of Mar 13, 2026
Feb 23, 2016$154M then
HNW client RAUM$247M as of Mar 13, 2026
Mar 30, 2018$123M then
State-registered IARs (5.B.3)7 as of Mar 13, 2026
Feb 23, 20164 then
Employees (5.A)14 as of Mar 13, 2026
Feb 23, 20169 then
Private funds: no history
RAUM -8.2% over the last fiscal year+4.0% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $322,370derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$359M59%
- High-net-worth individuals$247M41%
- Pension and profit-sharing plans$1.6M0.3%
- Individual clients
- 304reported
- HNW clients
- 155reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,885reported
- Financial planning clients
- 600reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• D••••• C•••Certified Financial Planner, Chartered Financial Consultant | Laguna Niguel, Ca | May 18, 2015 | 25 y | 1 |
| R•••••• E••• W•••••Certified Financial Planner, Chartered Financial Consultant | Chandler, Az | Jun 30, 2015 | 13 y | 3 |
| A•••••••• D•••• M•••• | Chandler, Az | Jul 10, 2015 | 29 y | 1 |
| E••••• P• P••••••• | Chandler, Az | Mar 9, 2016 | 16 y | 2 |
| J••••••• C•••• M••••Certified Financial Planner, Chartered Financial Consultant | Chandler, Az | Apr 21, 2017 | 21 y | 0 |
| S••••• N•••••Certified Financial Planner | Chandler, Az | Jun 12, 2026 | 10 y | 2 |
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount6 left over 36 months
Left, latest
- L••••• A•••• F•••• to R•••• W••••• P•••••••May 29, 2026 · RIA to a state-registered adviser
- M••••• E••••• H••• to R•••• W••••• P•••••••May 29, 2026 · RIA to a state-registered adviser
- R••••• W•••• to W••• C•••••• M••••••••• L••Mar 25, 2026 · RIA to RIA
- C••• N••••••• K••••••••• to W••• C•••••• M••••••••• L••May 23, 2025 · RIA to a newly registered adviser
- Z•••••• J••••••• L•••• W•• to V••••••• A•••••••• I•••Mar 10, 2025 · RIA to affiliated broker-dealer or bank
- C••••••••• M• M••••••• to C•••••• A•••• M••••••••• L••Jul 29, 2024 · RIA to RIA
- J••• H•••• B•••• to A•••• L•••••••• P••••••• G•••• L••May 9, 2022 · RIA to a state-registered adviser
- T•••• R••••• H•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 31, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• N••••• from F••••• M••••• W••••• A•••••••• L••Jun 12, 2026 · RIA to RIA
- J••• H•••• B•••• from I••••••• W••••• M•••••••••Dec 14, 2021 · Other
- Z•••••• J••••••• L•••• W•• from E•••••• F•••••••• E••••••May 7, 2021 · RIA to RIA
- T•••• R••••• H•••••• from E•• W••••• M•••••••••Dec 3, 2018 · Other
- E••••• P• P••••••• from I••••••• F••••••••• L••Mar 9, 2016 · Other
- A•••••••• D•••• M•••• from I••••••• F••••••••• L••Jul 10, 2015 · Other
- C••• N••••••• K••••••••• from I••••••• F••••••••• L••Jun 30, 2015 · Other
- R•••••• E••• W••••• from I••••••• F••••••••• L••Jun 30, 2015 · Other
- R•••• D••••• C••• from I••••••• F••••••••• L••May 18, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••• W••••• P•••••••May 29, 2026 · P••••••, Az
- 4 joined from I••••••• F••••••••• L••Feb 3, 2016 · Tucson, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• R••••• D••••• · Partnercontrolsince 04/2006 · owns less than 5%
- K••••••••• C•••• N••••••• · Ceo & Founder & Cco (05/2015)controlsince 04/2006 · owns less than 5%
- M••••• A••••••••• D•••• · Partnercontrolsince 04/2006 · owns less than 5%
- C•••• R••••• D••••• · Ownercontrolsince 01/2020 · owns 25% to 50% of I••••••• W••••• M••••••••• H•••••••• L••
- K••••••••• C•••• N••••••• · Ownercontrolsince 01/2020 · owns 25% to 50% of I••••••• W••••• M••••••••• H•••••••• L••
- M••••• A••••••••• D•••• · Ownercontrolsince 01/2020 · owns 25% to 50% of I••••••• W••••• M••••••••• H•••••••• L••
Entity owners
- I••••••• W••••• M••••••••• H•••••••• L•• · Ownerdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chandler, Az · principal | 6 | 1 | 2 | ||
| P••••••, Az | 0 | 0 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Laguna Niguel, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 64.0% to 41.0% between the annual amendments of 2025-03-05 and 2026-03-13peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,263 to 1,885Nov 10, 2025 to Mar 13, 2026
- Advisory employees · 8 to 6Nov 10, 2025 to Mar 13, 2026
- HNW clients · 196 to 155Nov 10, 2025 to Mar 13, 2026
- Individual clients · 315 to 304Nov 10, 2025 to Mar 13, 2026
- Pension plan clients · 12.0 to unsetNov 10, 2025 to Mar 13, 2026
- Employees · 17 to 14Nov 10, 2025 to Mar 13, 2026
- Financial planning clients · 251-500 to More than 500Nov 10, 2025 to Mar 13, 2026
- State-registered IARs · 8 to 7Nov 10, 2025 to Mar 13, 2026
- Discretionary RAUM · $656M to $603MNov 10, 2025 to Mar 13, 2026
- HNW RAUM · $426M to $247MNov 10, 2025 to Mar 13, 2026
- Individual RAUM · $220M to $359MNov 10, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $5.8M to $4.4MNov 10, 2025 to Mar 13, 2026
- Pension RAUM · $16.7M to $1.6MNov 10, 2025 to Mar 13, 2026
- RAUM · $662M to $608MNov 10, 2025 to Mar 13, 2026
- Financial planning clients · 251-500 to 251-500Jun 9, 2025 to Jul 22, 2025
- Related insurance company · false to trueMar 5, 2025 to Jun 9, 2025
- Accounts · 2,213 to 2,263Mar 26, 2024 to Mar 5, 2025
- Individual clients · 316 to 315Mar 26, 2024 to Mar 5, 2025
- Employees · 18 to 17Mar 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $610M to $656MMar 26, 2024 to Mar 5, 2025
- HNW RAUM · $424M to $426MMar 26, 2024 to Mar 5, 2025
- Individual RAUM · $178M to $220MMar 26, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $7.4M to $5.8MMar 26, 2024 to Mar 5, 2025
- Pension RAUM · $15.6M to $16.7MMar 26, 2024 to Mar 5, 2025
- RAUM · $618M to $662MMar 26, 2024 to Mar 5, 2025
- Accounts · 2,190 to 2,213Nov 6, 2023 to Mar 26, 2024
- Corporate clients · 4.0 to unsetNov 6, 2023 to Mar 26, 2024
- HNW clients · 190 to 196Nov 6, 2023 to Mar 26, 2024
- Individual clients · 245 to 316Nov 6, 2023 to Mar 26, 2024
- Pension plan clients · unset to 12.0Nov 6, 2023 to Mar 26, 2024
- Employees · 21 to 18Nov 6, 2023 to Mar 26, 2024
- State-registered IARs · 6 to 8Nov 6, 2023 to Mar 26, 2024
- Discretionary RAUM · $536M to $610MNov 6, 2023 to Mar 26, 2024
- HNW RAUM · $410M to $424MNov 6, 2023 to Mar 26, 2024
- Individual RAUM · $127M to $178MNov 6, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.4M to $7.4MNov 6, 2023 to Mar 26, 2024
- Pension RAUM · unset to 15592216.0Nov 6, 2023 to Mar 26, 2024
- RAUM · $540M to $618MNov 6, 2023 to Mar 26, 2024
- Accounts · 2,084 to 2,190Nov 15, 2022 to Mar 27, 2023
- Advisory employees · 11 to 8Nov 15, 2022 to Mar 27, 2023
Signals
15 dated events
- L••••• A•••• F•••• left I••••••• W••••• M••••••••• L•• for R•••• W••••• P••••••• (registered 2026-06-17)May 29, 2026 · Advisor changed firm · fact
- M••••• E••••• H••• left I••••••• W••••• M••••••••• L•• for R•••• W••••• P••••••• (registered 2026-06-17)May 29, 2026 · Advisor changed firm · fact
- 2 advisors left I••••••• W••••• M••••••••• L•• (Phoenix, AZ) for R•••• W••••• P••••••• on the same dayMay 29, 2026 · Team lift-out · derived
- R••••• W•••• left I••••••• W••••• M••••••••• L•• for W••• C•••••• M••••••••• L•• (registered 2026-05-21)Mar 25, 2026 · Advisor changed firm · fact
- C••• N••••••• K••••••••• left I••••••• W••••• M••••••••• L•• for W••• C•••••• M••••••••• L•• (registered 2025-04-28)May 23, 2025 · Advisor changed firm · fact
- Z•••••• J••••••• L•••• W•• left I••••••• W••••• M••••••••• L•• for V••••••• A•••••••• I••• (registered 2025-04-02)Mar 10, 2025 · Advisor changed firm · fact
- C••••••••• M• M••••••• left I••••••• W••••• M••••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2024-09-05)Jul 29, 2024 · Advisor changed firm · fact
- J••• H•••• B•••• left I••••••• W••••• M••••••••• L•• for A•••• L•••••••• P••••••• G•••• L•• (registered 2022-12-16)May 9, 2022 · Advisor changed firm · fact
- I••••••• W••••• M••••••••• L•• reported RAUM $541.2M, up 35% from $400.5M (2021-11-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- J••• T•••••• (Owner) no longer on Schedule A of I••••••• W••••• M••••••••• L•• (listed 2021-10-20, absent 2021-11-17)Nov 17, 2021 · Control person left · inference
- I••••••• W••••• M••••••••• L•• reported 1 offices beyond its principal office, down from 6 (2020-09-04 to 2021-03-15)Mar 15, 2021 · Office count change · derived
- I••••••• W••••• M••••••••• L•• reported RAUM $400.5M, up 34% from $299.9M (2020-09-04 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- I••••••• W••••• M••••••••• L•• reported 6 offices beyond its principal office, up from 1 (2020-08-03 to 2020-09-04)Sep 4, 2020 · Office count change · derived
- J••• T•••••• (Owner) appeared on Schedule A of I••••••• W••••• M••••••••• L••Mar 23, 2020 · Control person joined · fact
- I••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2015 · 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@ironwoodwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-776-5960reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-776-5961reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-467-0480reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I•••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-776-5960reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- ironwoodwm.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ironwoodwm.com/about-us/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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026