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
T••••• R••••••••• P•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 3, 2024 · 4 filings
SEC status approved since May 31, 2024
RAUM
$156M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$145M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$156M as of Mar 25, 2026
Mar 28, 2025$143M then
HNW client RAUM$121M as of Mar 25, 2026
Mar 28, 2025$104M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 28, 20252 then
Employees (5.A)2 as of Mar 25, 2026
Mar 28, 20252 then
Private funds: no history
RAUM +9.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $369,507derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $46.8M, 58 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M77%
- Individuals$23.9M15%
- Corporations and businesses$7.2M4.6%
- Pension and profit-sharing plans$4.2M2.7%
- Individual clients
- 76reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 422reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.8M for 58 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• V••••• S•••••Chartered Financial Consultant | Mesa, Az | Jan 5, 2016 | 26 y | 2 |
| J•••••• T••••• B•••Certified Financial Planner | Mesa, Az | May 26, 2017 | 14 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 headcount0 left over 36 months
Left, latest
- K••• R••••• S•••• to S•••• W••••• • R••••••••• L••Jan 5, 2017 · RIA to RIA
Joined, latest
- R••••• V••••• S••••• from G•••••••• C•••••• M••••••••• L••Jan 5, 2016 · Other
- K••• R••••• S•••• from G•••••••• C•••••• M••••••••• L••Jan 5, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G•••••••• C•••••• M••••••••• L••Dec 31, 2015 · Lone Tree, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• R•••••• V••••• · Managing Member & Chief Compliance Officercontrolsince 10/2015 · 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 |
|---|---|---|---|---|---|
| Mesa, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 407 to 422Mar 28, 2025 to Mar 25, 2026
- HNW clients · 49 to 51Mar 28, 2025 to Mar 25, 2026
- Individual clients · 75 to 76Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $55.8M to $46.8MMar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $141M to $154MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $104M to $121MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $23.3M to $23.9MMar 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.0M to $2.0MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $3.5M to $4.2MMar 28, 2025 to Mar 25, 2026
- RAUM · $143M to $156MMar 28, 2025 to Mar 25, 2026
- Accounts · 379 to 407Jun 6, 2024 to Mar 28, 2025
- HNW clients · 39 to 49Jun 6, 2024 to Mar 28, 2025
- Individual clients · 73 to 75Jun 6, 2024 to Mar 28, 2025
- Assets in custody · $53.0M to $55.8MJun 6, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Jun 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $112M to $141MJun 6, 2024 to Mar 28, 2025
- HNW RAUM · $86.2M to $104MJun 6, 2024 to Mar 28, 2025
- Individual RAUM · $27.6M to $23.3MJun 6, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.9M to $2.0MJun 6, 2024 to Mar 28, 2025
- Pension RAUM · $0 to $3.5MJun 6, 2024 to Mar 28, 2025
- RAUM · $114M to $143MJun 6, 2024 to Mar 28, 2025
Signals
1 dated events
- T••••• R••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 3, 2024 · 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
- 480-626-2501reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/taurumretirementpartnersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- taurum.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-626-2501reportedpublic record, Form ADV, Mar 25, 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
- $78.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026