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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Former SEC-registered adviser

H••••••• W••••• M••••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 287909SEC 801-110550IAPD
Latest filing Mar 31, 2023
First filing on the tape Apr 28, 2017 · 35 filings
RAUM
$545M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$542M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
18 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$545M as of Mar 31, 2023
Mar 27, 2018$182M then
HNW client RAUM$283M as of Mar 31, 2023
Mar 27, 2018$84.2M then
State-registered IARs (5.B.3)18 as of Mar 31, 2023
Mar 27, 20182 then
Employees (5.A)28 as of Mar 31, 2023
Mar 27, 201811 then
Private funds: no history
RAUM -7.7% over the last fiscal year+38% a year over threeIARs 18 to 18
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$30.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$675,404derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
3.0derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-7.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%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
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$283M52%
  • Individuals$259M48%
  • Corporations and businesses$2.4M0.4%
  • Pension and profit-sharing plans$256,6700.0%
  • Charitable organizations$52,2760.0%
Individual clients
643reported
HNW clients
158reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
807reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••• M••••••• B•••• · Managing Membercontrol
    since 04/2017 · owns 25% to 50%
  • M••••• D••••• E•••• · Managing Member And Chief Compliance Officercontrol
    since 04/2017 · owns 10% to 25%
  • N•••••• R••••• E•••• · Managing Membercontrol
    since 04/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
  • F•••• • A••••••••• L••
    real estaten
  • H••••••• I•••••••• A•••••••• L••
    real estaten
  • H•• C•••••••• P••••• A••••••••• L••
    insurancen
  • H•• L••• L••
    n
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Phoenix, Az · principal000
Offices
Schedule D 1.F, the 25 largest
  • Solana Beach, CA3 employees
  • Amarillo, TX1 employees
  • Phoenix, AZ1 employees
  • Plano, TX1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,946 to 807
    Jan 20, 2023 to Mar 31, 2023
  • Advisory activities · 5 to 4
    Jan 20, 2023 to Mar 31, 2023
  • Charity clients · 6.0 to unset
    Jan 20, 2023 to Mar 31, 2023
  • Corporate clients · 9.0 to unset
    Jan 20, 2023 to Mar 31, 2023
  • HNW clients · 157 to 158
    Jan 20, 2023 to Mar 31, 2023
  • Individual clients · 789 to 643
    Jan 20, 2023 to Mar 31, 2023
  • Financial planning clients · 0 to 251-500
    Jan 20, 2023 to Mar 31, 2023
  • Other offices · 6 to 5
    Jan 20, 2023 to Mar 31, 2023
  • Discretionary RAUM · $591M to $545M
    Jan 20, 2023 to Mar 31, 2023
  • HNW RAUM · $252M to $283M
    Jan 20, 2023 to Mar 31, 2023
  • Individual RAUM · $305M to $259M
    Jan 20, 2023 to Mar 31, 2023
  • Pension RAUM · $191,964 to $256,670
    Jan 20, 2023 to Mar 31, 2023
  • RAUM · $591M to $545M
    Jan 20, 2023 to Mar 31, 2023
  • Other offices · 5 to 6
    Mar 15, 2022 to Apr 5, 2022
  • Accounts · 553 to 1,946
    Jan 4, 2022 to Mar 15, 2022
  • Advisory employees · 19 to 18
    Jan 4, 2022 to Mar 15, 2022
  • Advisory activities · 4 to 5
    Jan 4, 2022 to Mar 15, 2022
  • Charity clients · unset to 6.0
    Jan 4, 2022 to Mar 15, 2022
  • Corporate clients · unset to 9.0
    Jan 4, 2022 to Mar 15, 2022
  • HNW clients · 101 to 157
    Jan 4, 2022 to Mar 15, 2022
  • Individual clients · 448 to 789
    Jan 4, 2022 to Mar 15, 2022
  • Pension plan clients · 0.0 to unset
    Jan 4, 2022 to Mar 15, 2022
  • Pooled vehicle clients · 0.0 to unset
    Jan 4, 2022 to Mar 15, 2022
  • Financial planning clients · 251-500 to 0
    Jan 4, 2022 to Mar 15, 2022
  • State-registered IARs · 19 to 18
    Jan 4, 2022 to Mar 15, 2022
  • Discretionary RAUM · $383M to $591M
    Jan 4, 2022 to Mar 15, 2022
  • HNW RAUM · $168M to $252M
    Jan 4, 2022 to Mar 15, 2022
  • Individual RAUM · $210M to $305M
    Jan 4, 2022 to Mar 15, 2022
  • Pension RAUM · $0 to $191,964
    Jan 4, 2022 to Mar 15, 2022
  • Pooled vehicle RAUM · 0.0 to unset
    Jan 4, 2022 to Mar 15, 2022
  • RAUM · $383M to $591M
    Jan 4, 2022 to Mar 15, 2022
  • Other offices · 4 to 5
    May 28, 2021 to Nov 2, 2021
  • Advisory employees · 18 to 19
    Apr 29, 2021 to May 28, 2021
  • Employees · 27 to 28
    Apr 29, 2021 to May 28, 2021
  • State-registered IARs · 18 to 19
    Apr 29, 2021 to May 28, 2021
  • Other offices · 3 to 4
    Apr 29, 2021 to May 28, 2021
  • Accounts · 813 to 553
    Nov 18, 2020 to Mar 31, 2021
  • Advisory employees · 10 to 18
    Nov 18, 2020 to Mar 31, 2021
  • Advisory activities · 2 to 4
    Nov 18, 2020 to Mar 31, 2021
  • Charity clients · 0.0 to unset
    Nov 18, 2020 to Mar 31, 2021
Signals
24 dated events
  • H••••••• W••••• M••••••••• L••'s advisors moved to H••••••• F••••• O••••••• L•• (Phoenix, AZ): 4 of 6 registered, on the same day
    Mar 5, 2024 · Firm absorbed (people side) · derived
  • B•••• L•••• B••• left H••••••• W••••• M••••••••• L•• for H••••••• F••••• O••••••• L•• (registered 2024-06-12)
    Mar 5, 2024 · a•••••• firm change · fact
  • C•••••••• M••• H••••• left H••••••• W••••• M••••••••• L•• for H••••••• F••••• O••••••• L•• (registered 2023-02-03)
    Mar 5, 2024 · a•••••• firm change · fact
  • Z•••••• M•••••• T••••• left H••••••• W••••• M••••••••• L•• for G••••• H••••••• W••••• M••••••••• L•• (registered 2023-09-18)
    Mar 5, 2024 · a•••••• firm change · fact
  • M•••••• B•••• F•••• left H••••••• W••••• M••••••••• L•• for J••••••• W••••• S••••••••• L•• (registered 2017-07-24)
    Mar 5, 2024 · a•••••• firm change · fact
  • D•••• E•••• M•••• left H••••••• W••••• M••••••••• L•• for H••••••• F••••• O••••••• L•• (registered 2023-03-15)
    Mar 5, 2024 · a•••••• firm change · fact
  • B•••• J•••• E••• left H••••••• W••••• M••••••••• L•• for H••••••• F••••• O••••••• L•• (registered 2023-02-03)
    Mar 5, 2024 · a•••••• firm change · fact
  • B•••• A••• L•••••• left H••••••• W••••• M••••••••• L•• for S•• I••••••••• A•••••••• I••• (registered 2023-05-09)
    May 10, 2023 · a•••••• firm change · fact
  • T••••• W•••••• M•••••••• left H••••••• W••••• M••••••••• L•• for C•••••••• C•••••• W••••• M••••••••• L•• (registered 2023-05-05)
    May 3, 2023 · a•••••• firm change · fact
  • S•••••• S•••• left H••••••• W••••• M••••••••• L•• for P••••• W••••• M••••••••• L•• (registered 2023-04-18)
    May 3, 2023 · a•••••• firm change · fact
  • D•••• T•••• H•••••• left H••••••• W••••• M••••••••• L•• for T••• F•••••••• (registered 2023-03-02)
    Apr 7, 2023 · a•••••• firm change · fact
  • E•••• F••••••• left H••••••• W••••• M••••••••• L•• for O•••• F•• I••• (registered 2024-01-10)
    Feb 10, 2023 · a•••••• firm change · fact
  • D••••• J••••• C•••••••• left H••••••• W••••• M••••••••• L•• for N•••••• I••• (registered 2023-01-23)
    Jan 25, 2023 · a•••••• firm change · fact
  • E••••• A••••• M••••••• left H••••••• W••••• M••••••••• L•• for R•• A•••••••• L•• (registered 2023-01-24)
    Jan 25, 2023 · a•••••• firm change · fact
  • J•••• D•••••• left H••••••• W••••• M••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-01-04)
    Jan 6, 2023 · a•••••• firm change · fact
  • M•••••• L••••••• left H••••••• W••••• M••••••••• L•• for W••••••••• A••••••• (registered 2023-06-01)
    Nov 21, 2022 · a•••••• firm change · fact
  • J•••• D•••• W••••••• left H••••••• W••••• M••••••••• L•• for T••• F•••••••• (registered 2022-12-07)
    Nov 17, 2022 · a•••••• firm change · fact
  • K••• J•••• O••••••••• left H••••••• W••••• M••••••••• L•• for N•••••• I••• (registered 2022-06-07)
    Jun 3, 2022 · a•••••• firm change · fact
  • P•••••• T•••••• F•••••• left H••••••• W••••• M••••••••• L•• for R•• A•••••••• L•• (registered 2022-04-18)
    Apr 20, 2022 · a•••••• firm change · fact
  • J••• A••••• B•••• left H••••••• W••••• M••••••••• L•• for R•• A•••••••• L•• (registered 2022-04-18)
    Apr 20, 2022 · a•••••• firm change · fact
  • H••••••• W••••• M••••••••• L•• reported RAUM $590.5M, up 54% from $382.7M (2022-01-04 to 2022-03-15)
    Mar 15, 2022 · RAUM change · derived
  • H••••••• W••••• M••••••••• L•• reported RAUM $382.7M, up 85% from $206.3M (2020-11-18 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • H••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 28, 2017 · ria f•••• adv filing · fact
  • H••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 28, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026