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
Bayntree Wealth Advisors, LLC
Latest filing Apr 20, 2026
First filing on the tape Jun 25, 2021 · 14 filings
SEC status approved since Jul 23, 2021
RAUM
$241M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$40.2M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$241M as of Apr 20, 2026
Mar 31, 2022$170M then
HNW client RAUM$142M as of Apr 20, 2026
Mar 31, 2022$89.9M then
State-registered IARs (5.B.3)6 as of Apr 20, 2026
Mar 31, 20225 then
Employees (5.A)13 as of Apr 20, 2026
Mar 31, 202210 then
Private funds: no history
RAUM +26% over the last fiscal year+12% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Apr 20, 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
- $40.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $199,567derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $1.7M, 6 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
- 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)
- 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$142M59%
- Individuals$99.4M41%
- Individual clients
- 406reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,208reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7M for 6 clientsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Scott Rafal | Scottsdale, Az | Jul 29, 2015 | 15 y | 2 |
| Brian David HartsteinChartered Financial Consultant | Scottsdale, Az | Jul 5, 2016 | 32 y | 2 |
| Jonathan Michael Gengle | Scottsdale, Az | Apr 3, 2019 | 13 y | 2 |
| Andrue Jorgensen | Scottsdale, Az | Jan 4, 2023 | 10 y | 1 |
| Ezra Max Alpert | Scottsdale, Az | Oct 24, 2025 | 11 y | 0 |
| Jonathan William BrantCertified Financial Planner | Scottsdale, Az | Dec 9, 2025 | 10 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Brandon Paul Sudo Cepeda to Charles Schwab & Co., Inc.Oct 1, 2024 · RIA to affiliated broker-dealer or bank
- Cristina Perez to NectarineFeb 26, 2024 · RIA to a newly registered adviser
- Christopher Roger to Wealth Enhancement Advisory Services, LLCAug 23, 2022 · RIA to affiliated broker-dealer or bank
- Michael Jonathan Floyd to Intelligent 401k, LLCApr 4, 2022 · Other
- Steven Yick Tung Chau to Vanguard Advisers, Inc.Nov 17, 2016 · Other
Joined, latest
- Jonathan William Brant from Cetera Investment Advisers LLCDec 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- Brandon Paul Sudo Cepeda from Schwab Wealth Advisory, Inc.Feb 26, 2024 · Other
- Andrue Jorgensen from Securian Financial Services, Inc.Jan 4, 2023 · RIA to RIA
- Cristina Perez from Fidelity Personal And Workplace AdvisorsMay 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jonathan Michael Gengle from Royal Fund Management, LLCApr 3, 2019 · RIA to RIA
- Christopher Roger from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 24, 2017 · Wirehouse to independent RIA
- Brian David Hartstein from National Planning Corporation ("Npc Of America" In Fl & Ny)Jul 5, 2016 · Other
- Steven Yick Tung Chau from Usaa Financial Planning ServicesMay 2, 2016 · Other
- Andrew Scott Rafal from Strategy Financial GroupJul 29, 2015 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Andrew Rafal · President/Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- Scott Andrew Rafal · Ownercontrolsince 10/2015 · owns 75% or more of Ajw, LLC
Entity owners
- Ajw, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bayntree Planning Group, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Avondale, AZ
- Oro Valley, AZ
- Peoria, AZ
- Tucson, AZ
What changed
consecutive filings, newest first
- Accounts · 1,022 to 1,208Aug 28, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Aug 28, 2025 to Mar 31, 2026
- HNW clients · 88 to 104Aug 28, 2025 to Mar 31, 2026
- Individual clients · 349 to 406Aug 28, 2025 to Mar 31, 2026
- Assets in custody · $2.3M to $1.7MAug 28, 2025 to Mar 31, 2026
- Employees · 11 to 13Aug 28, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 6Aug 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $182M to $230MAug 28, 2025 to Mar 31, 2026
- HNW RAUM · $111M to $142MAug 28, 2025 to Mar 31, 2026
- Individual RAUM · $80.6M to $99.4MAug 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $10.1M to $10.7MAug 28, 2025 to Mar 31, 2026
- RAUM · $192M to $241MAug 28, 2025 to Mar 31, 2026
- Accounts · 1,019 to 1,022Nov 13, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Nov 13, 2024 to Mar 31, 2025
- Individual clients · 341 to 349Nov 13, 2024 to Mar 31, 2025
- Assets in custody · $1.5M to $2.3MNov 13, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Nov 13, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 4Nov 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $174M to $182MNov 13, 2024 to Mar 31, 2025
- HNW RAUM · $105M to $111MNov 13, 2024 to Mar 31, 2025
- Individual RAUM · $76.1M to $80.6MNov 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $7.3M to $10.1MNov 13, 2024 to Mar 31, 2025
- RAUM · $181M to $192MNov 13, 2024 to Mar 31, 2025
- Accounts · 1,083 to 1,019Sep 8, 2023 to Mar 29, 2024
- HNW clients · 77 to 88Sep 8, 2023 to Mar 29, 2024
- Individual clients · 345 to 341Sep 8, 2023 to Mar 29, 2024
- Assets in custody · $1.7M to $1.5MSep 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $167M to $174MSep 8, 2023 to Mar 29, 2024
- HNW RAUM · $96.8M to $105MSep 8, 2023 to Mar 29, 2024
- Individual RAUM · $74.4M to $76.1MSep 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.9M to $7.3MSep 8, 2023 to Mar 29, 2024
- RAUM · $171M to $181MSep 8, 2023 to Mar 29, 2024
- Accounts · 1,104 to 1,083Jun 2, 2022 to Mar 31, 2023
- HNW clients · 93 to 77Jun 2, 2022 to Mar 31, 2023
- Individual clients · 399 to 345Jun 2, 2022 to Mar 31, 2023
- Assets in custody · $1.4M to $1.7MJun 2, 2022 to Mar 31, 2023
- Employees · 10 to 11Jun 2, 2022 to Mar 31, 2023
- Financial planning clients · 11-25 to 1-10Jun 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $167M to $167MJun 2, 2022 to Mar 31, 2023
- HNW RAUM · $89.9M to $96.8MJun 2, 2022 to Mar 31, 2023
Signals
5 dated events
- Brandon Paul Sudo Cepeda left Bayntree Wealth Advisors, Llc for Charles Schwab & Co., Inc. (registered 2025-01-21)Oct 1, 2024 · Advisor changed firm · fact
- Cristina Perez left Bayntree Wealth Advisors, Llc for Nectarine (registered 2024-04-19)Feb 26, 2024 · Advisor changed firm · fact
- Christopher Roger left Bayntree Wealth Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-09-28)Aug 23, 2022 · Advisor changed firm · fact
- Michael Jonathan Floyd left Bayntree Wealth Advisors, Llc for Intelligent 401K, Llc (registered 2020-11-12)Apr 4, 2022 · Advisor changed firm · fact
- Bayntree Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Jun 25, 2021 · 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
- 480-494-2750reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 520-505-3670reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-255-3200reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- yourwealthandbeyond.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480.494.2750reportedpublic record, Form ADV, Apr 20, 2026
- Contact form
- bayntree.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
- $40.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026