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••••• M••••••••• L•••••
Latest filing Sep 2, 2026
First filing on the tape Feb 16, 2022 · 13 filings
SEC status approved since Mar 17, 2022
RAUM
$237M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
95%
$224M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$237M as of Mar 27, 2026
Feb 1, 2023$107M then
HNW client RAUM$140M as of Mar 27, 2026
Feb 1, 2023$31.1M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Feb 1, 20231 then
Employees (5.A)5 as of Mar 27, 2026
Feb 1, 20234 then
Private funds: no history
RAUM +41% over the last fiscal year+30% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Sep 2, 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
- RAUM per advisor
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 232derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $250,885derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +214%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M60%
- Individuals$83.8M36%
- Pension and profit-sharing plans$9.8M4.2%
- Individual clients
- 851reported
- HNW clients
- 76reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 944reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd= related_bank= bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• B••••• B•••• | Gilbert, Az | Nov 8, 2016 | 37 y | 3 |
| H••••• R••••• D•• M•••• | Gilbert, Az | Nov 8, 2016 | 22 y | 2 |
| R•••••• M•••••• E••••••• | Gilbert, Az | Nov 8, 2016 | 15 y | 1 |
| R••••••• L•• D•• M•••• | Gilbert, Az | Dec 19, 2018 | 18 y | 1 |
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
none on the tape
Joined, latest
- R••••••• L•• D•• M•••• from S•••••••• I••••••••• M•••••••••Dec 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•••••• M•••••• E••••••• from W•••• F•••• A•••••••Nov 8, 2016 · Wirehouse to independent RIA
- H••••• R••••• D•• M•••• from W•••• F•••• A•••••••Nov 8, 2016 · Wirehouse to independent RIA
- C•••••• B••••• B•••• from L•• F•••••••• L••Nov 8, 2016 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••• B••••• · Partner & Ccocontrolsince 08/2007 · owns 25% to 50%
- D•• M••••• H•••••• R••••• · Partnercontrolsince 01/2016 · owns 25% to 50%
- E•••••••• R••••••• M•••••• · Partnercontrolsince 01/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Gilbert, Az · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 70.0% to 90.0% between the annual amendments of 2025-04-01 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 295.0 to 927.0 (+214.0%) between the annual amendments of 2025-04-01 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 603.0 to 944.0 (+57.0%) between the annual amendments of 2025-04-01 and 2026-03-27; the peer median change was +5.0% (3686 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 96% percentile
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $167,683,432 to $236,835,677 (+41.0%) between the annual amendments of 2025-04-01 and 2026-03-27; the peer median change was +15.0% (4549 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 27, 2026 to Sep 2, 2026
- BD registered reps · 3 to 4Mar 27, 2026 to Sep 2, 2026
- Employees · 5 to 6Mar 27, 2026 to Sep 2, 2026
- Financial planning clients · 101-250 to 101-250Mar 27, 2026 to Sep 2, 2026
- State-registered IARs · 2 to 3Mar 27, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 2, 2026
- Succession · false to unsetMar 27, 2026 to Sep 2, 2026
- Accounts · 909 to 944Aug 22, 2025 to Feb 27, 2026
- Corporate clients · 3 to 0Aug 22, 2025 to Feb 27, 2026
- HNW clients · 47 to 76Aug 22, 2025 to Feb 27, 2026
- Individual clients · 795 to 851Aug 22, 2025 to Feb 27, 2026
- Financial planning clients · 11-25 to 101-250Aug 22, 2025 to Feb 27, 2026
- Discretionary RAUM · $223M to $212MAug 22, 2025 to Feb 27, 2026
- HNW RAUM · $137M to $140MAug 22, 2025 to Feb 27, 2026
- Individual RAUM · $73.9M to $83.8MAug 22, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $24.4M to $24.6MAug 22, 2025 to Feb 27, 2026
- RAUM · $248M to $237MAug 22, 2025 to Feb 27, 2026
- Accounts · 603 to 909Apr 1, 2025 to Aug 22, 2025
- HNW clients · 44 to 47Apr 1, 2025 to Aug 22, 2025
- Individual clients · 251 to 795Apr 1, 2025 to Aug 22, 2025
- Employees · 4 to 5Apr 1, 2025 to Aug 22, 2025
- HQ city · MESA to GILBERTApr 1, 2025 to Aug 22, 2025
- Discretionary RAUM · $118M to $223MApr 1, 2025 to Aug 22, 2025
- HNW RAUM · $86.3M to $137MApr 1, 2025 to Aug 22, 2025
- Individual RAUM · $47.5M to $73.9MApr 1, 2025 to Aug 22, 2025
- Non-discretionary RAUM · $49.5M to $24.4MApr 1, 2025 to Aug 22, 2025
- RAUM · $168M to $248MApr 1, 2025 to Aug 22, 2025
- Financial planning clients · 11-25 to 11-25Jan 7, 2025 to Apr 1, 2025
- Accounts · 560 to 603Jul 16, 2024 to Jan 7, 2025
- Advisory employees · 3 to 2Jul 16, 2024 to Jan 7, 2025
- HNW clients · 27 to 44Jul 16, 2024 to Jan 7, 2025
- Individual clients · 286 to 251Jul 16, 2024 to Jan 7, 2025
- State-registered IARs · 3 to 2Jul 16, 2024 to Jan 7, 2025
- Discretionary RAUM · $94.8M to $118MJul 16, 2024 to Jan 7, 2025
- HNW RAUM · $56.6M to $86.3MJul 16, 2024 to Jan 7, 2025
- Individual RAUM · $74.2M to $47.5MJul 16, 2024 to Jan 7, 2025
- Non-discretionary RAUM · $51.0M to $49.5MJul 16, 2024 to Jan 7, 2025
Signals
1 dated events
- C•••••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Feb 16, 2022 · 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
- 480-225-1058reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-776-9670reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-776-9670reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.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
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026