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
C••••• W••••• A•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Mar 7, 2016 · 39 filings
SEC status approved since Mar 20, 2017
RAUM
$305M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$305M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$25.4M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$305M as of Apr 7, 2026
Feb 6, 2018$182M then
HNW client RAUM$70.3M as of Apr 7, 2026
Feb 6, 2018$61.9M then
State-registered IARs (5.B.3)13 as of Apr 7, 2026
Feb 6, 201815 then
Employees (5.A)13 as of Apr 7, 2026
Feb 6, 201826 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $25.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $320,254derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $74.2M, 195 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)
- 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
- Individuals$235M77%
- High-net-worth individuals$70.3M23%
- Charitable organizations$432,8580.1%
- Individual clients
- 472reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 953reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.2M for 195 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=10.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••• A•••• C••••• | Peoria, Az | Mar 25, 2016 | 29 y | 3 |
| J••••• A•••• C••••• | Peoria, Az | Mar 25, 2016 | 21 y | 3 |
| S••••• A•• H•••••Certified Financial Planner | Peoria, Az | Mar 28, 2016 | 27 y | 3 |
| K•••••• R• H••••••Chartered Financial Analyst | Peoria, Az | Jun 7, 2016 | 23 y | 3 |
| J••••••• A•••• S••••• | Peoria, Az | Oct 24, 2016 | 22 y | 1 |
| K••••• R•••• B••••Certified Financial Planner | Peoria, Az | Aug 15, 2017 | 27 y | 3 |
| J•••• M•••••• G•••••Certified Financial Planner | Chandler, Az | Aug 15, 2017 | 27 y | 2 |
| D••••• B••••••• M••••••• | Peoria, Az | Mar 13, 2018 | 10 y | 1 |
| T•••••• A•• F•••••• | Peoria, Az | Mar 23, 2018 | 28 y | 3 |
| K•••••••• A•• F••••• | Castle Rock, Co | Mar 9, 2021 | 13 y | 0 |
| J••• E••••• F•••••• | Peoria, Az | Mar 25, 2025 | 15 y | 0 |
| A•• C••••••• J•••• | Peoria, Az | Jan 29, 2026 | 13 y | 0 |
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 headcount1 left over 36 months
Left, latest
- D•••• M••••••• Z••••••• to M•• C•••••• A••••••• L••Sep 27, 2023 · RIA to RIA
- J••••• R••••• B••• M••••••••• to F••• P••••••••• W••••• A•••••••• L••May 26, 2020 · RIA to RIA
- E••••• R•••••• F•••••• to S••••• M•••••••••Dec 31, 2019 · RIA to RIA
- H••••• W•••••• W•••••• to F••••••• F•••••••• G••••• I•••Jan 16, 2018 · Other
- P•••• J• O•••• to E•••••••• A•••••••• L••May 25, 2017 · Other
Joined, latest
- T•••••• A•• F•••••• from M••••• S••••••Mar 23, 2018 · Wirehouse to independent RIA
- D••••• B••••••• M••••••• from S••••• M•••••••••Mar 13, 2018 · Other
- E••••• R•••••• F•••••• from W•• A•••••••• L•Aug 16, 2017 · Other
- J••••• R••••• B••• M••••••••• from W•• A•••••••• L•Aug 15, 2017 · Other
- H••••• W•••••• W•••••• from W•• A•••••••• L•Aug 15, 2017 · Other
- J•••• M•••••• G••••• from W•• A•••••••• L•Aug 15, 2017 · Other
- K••••• R•••• B•••• from W•• A•••••••• L•Aug 15, 2017 · Other
- D•••• M••••••• Z••••••• from W•• A•••••••• L•Oct 24, 2016 · Other
- J••••••• A•••• S••••• from W•• A•••••••• L•Oct 24, 2016 · Other
- P•••• J• O•••• from W•• A•••••••• L•Oct 24, 2016 · Other
- K•••••• R• H•••••• from S••••••• R••• W••••• M••••••••• L••Jun 7, 2016 · Other
- S••••• A•• H••••• from W•• A•••••••• L•Mar 28, 2016 · Other
- J••••• A•••• C••••• from W•• A•••••••• L•Mar 25, 2016 · Other
- B••• A•••• C••••• from W•• A•••••••• L•Mar 25, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 joined from W•• A•••••••• L•Aug 30, 2017 · Peoria, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• T••••••• A•• · Chief Compliance Officer, Chief Operating Officercontrolsince 03/2018 · owns less than 5%
- C•••••• B•••• A•••• · Trusteecontrolsince 05/2020 · owns F of C••••• 2••• T•••• D•••• M•• 8• 2•••
- F••••••• T••••••• A•• · Trusteecontrolsince 09/2010 · owns F of J••• E••••• F•••••• J• A•• T•••••• A•• F•••••• L••••• T•••• D•••• S•••••••• 2•• 2•••
Entity owners
- C••••• 2••• T•••• D•••• M•• 8• 2••• · Memberindirect · owns 75% or more of C•••• V••• F••••••••• L••
- J••• E••••• F•••••• J• A•• T•••••• A•• F•••••• L••••• T•••• D•••• S•••••••• 2•• 2••• · Memberindirect · owns F of C•••• V••• F••••••••• L••
- C•••• V••• F••••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Peoria, Az · principal | 11 | 1 | 0 | ||
| Castle R•••, Co | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Castle R•••, CO2 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Mar 2, 2026 to Apr 7, 2026
- Accounts · 918 to 953Apr 9, 2025 to Mar 2, 2026
- Advisory employees · 16 to 13Apr 9, 2025 to Mar 2, 2026
- BD registered reps · 6 to 10Apr 9, 2025 to Mar 2, 2026
- HNW clients · 25 to 30Apr 9, 2025 to Mar 2, 2026
- Individual clients · 481 to 472Apr 9, 2025 to Mar 2, 2026
- Assets in custody · $78.8M to $74.2MApr 9, 2025 to Mar 2, 2026
- Employees · 16 to 13Apr 9, 2025 to Mar 2, 2026
- State-registered IARs · 11 to 13Apr 9, 2025 to Mar 2, 2026
- Discretionary RAUM · $257M to $305MApr 9, 2025 to Mar 2, 2026
- HNW RAUM · $54.6M to $70.3MApr 9, 2025 to Mar 2, 2026
- Individual RAUM · $202M to $235MApr 9, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $109,645 to $574,568Apr 9, 2025 to Mar 2, 2026
- RAUM · $257M to $305MApr 9, 2025 to Mar 2, 2026
- Accounts · 878 to 918Dec 4, 2024 to Apr 9, 2025
- Individual clients · 460 to 481Dec 4, 2024 to Apr 9, 2025
- Assets in custody · $73.7M to $78.8MDec 4, 2024 to Apr 9, 2025
- Financial planning clients · 51-100 to 51-100Dec 4, 2024 to Apr 9, 2025
- Discretionary RAUM · $222M to $257MDec 4, 2024 to Apr 9, 2025
- HNW RAUM · $54.2M to $54.6MDec 4, 2024 to Apr 9, 2025
- Individual RAUM · $168M to $202MDec 4, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $1.0M to $109,645Dec 4, 2024 to Apr 9, 2025
- RAUM · $223M to $257MDec 4, 2024 to Apr 9, 2025
- Accounts · 1,022 to 878Nov 2, 2023 to Feb 28, 2024
- Advisory employees · 12 to 16Nov 2, 2023 to Feb 28, 2024
- BD registered reps · 10 to 6Nov 2, 2023 to Feb 28, 2024
- Individual clients · 569 to 460Nov 2, 2023 to Feb 28, 2024
- Assets in custody · $68.9M to $73.7MNov 2, 2023 to Feb 28, 2024
- Employees · 12 to 16Nov 2, 2023 to Feb 28, 2024
- State-registered IARs · 12 to 11Nov 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $122M to $222MNov 2, 2023 to Feb 28, 2024
- HNW RAUM · $51.8M to $54.2MNov 2, 2023 to Feb 28, 2024
- Individual RAUM · $148M to $168MNov 2, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $77.9M to $1.0MNov 2, 2023 to Feb 28, 2024
- RAUM · $200M to $223MNov 2, 2023 to Feb 28, 2024
- Accounts · 1,059 to 1,022Feb 22, 2023 to Mar 8, 2023
- HNW clients · 30 to 25Feb 22, 2023 to Mar 8, 2023
- Individual clients · 601 to 569Feb 22, 2023 to Mar 8, 2023
- Assets in custody · $85.6M to $68.9MFeb 22, 2023 to Mar 8, 2023
- Discretionary RAUM · $166M to $122MFeb 22, 2023 to Mar 8, 2023
Signals
4 dated events
- Allen Joshua Cooper (Trustee) no longer on Schedule A of C••••• W••••• A•••••••• L•• (listed 2024-02-28, absent 2024-08-01)Aug 1, 2024 · Control person left · inference
- D•••• M••••••• Z••••••• left C••••• W••••• A•••••••• L•• for M•• C•••••• A••••••• L•• (registered 2023-10-06)Sep 27, 2023 · Advisor changed firm · fact
- Alan Michael Sherman (Chief Compliance Officer) no longer on Schedule A of C••••• W••••• A•••••••• L•• (listed 2019-07-18, absent 2020-02-12)Feb 12, 2020 · Control person left · inference
- C••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 2016 · 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
- k•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 623-583-6840reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 623-583-6840reportedpublic record, Form ADV, Apr 7, 2026
- public contact f•••
- h•••••••••.comreportedpublished 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
- $25.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026