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

S••••• W••• A•••••••• L••

Independent wealth managerScottsdale, ArizonaCRD 285314SEC 801-134843websiteIAPD
Latest filing Jun 11, 2026
First filing on the tape Nov 24, 2025 · 3 filings
SEC status approved since Nov 25, 2025
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$111M as of Jun 11, 2026
Nov 24, 2025$106M then
HNW client RAUM$21.0M as of Jun 11, 2026
Nov 24, 2025$29.5M then
State-registered IARs (5.B.3)1 as of Jun 11, 2026
Nov 24, 20251 then
Employees (5.A)1 as of Jun 11, 2026
Nov 24, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$111MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
566derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$196,290derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$90.1M81%
  • High-net-worth individuals$21.0M19%
Individual clients
546reported
HNW clients
20reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
566reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• M••••••• S•••••••Certified Financial PlannerScottsdale, AzJan 12, 201722 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••••• A•••••• A••••• · Membercontrol
      since 09/2016 · owns 50% to 75%
    • S•••••••• K••••• M••••••• · Chief Compliance Officer/Managing Membercontrol
      since 09/2016 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 536 to 566
      Nov 24, 2025 to Mar 30, 2026
    • Advisory activities · 3 to 2
      Nov 24, 2025 to Mar 30, 2026
    • HNW clients · 18 to 20
      Nov 24, 2025 to Mar 30, 2026
    • Individual clients · 306 to 546
      Nov 24, 2025 to Mar 30, 2026
    • Financial planning clients · 251-500 to
      Nov 24, 2025 to Mar 30, 2026
    • Discretionary RAUM · $106M to $111M
      Nov 24, 2025 to Mar 30, 2026
    • HNW RAUM · $29.5M to $21.0M
      Nov 24, 2025 to Mar 30, 2026
    • Individual RAUM · $76.5M to $90.1M
      Nov 24, 2025 to Mar 30, 2026
    • RAUM · $106M to $111M
      Nov 24, 2025 to Mar 30, 2026
    Signals
    No event on the tape.
    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
    Website
    s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    480-306-7823reportedpublic record, Form ADV, Jun 11, 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
    $111Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026