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
N•• W••••• M•••••••••
Legal name J• P• D••••• I•••
Latest filing Feb 13, 2026
First filing on the tape Apr 25, 2019 · 19 filings
SEC status approved since May 28, 2019
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$60.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$242M as of Feb 13, 2026
Mar 11, 2020$126M then
HNW client RAUM$206M as of Feb 13, 2026
Mar 11, 2020$101M then
State-registered IARs (5.B.3)4 as of Feb 13, 2026
Mar 11, 20203 then
Employees (5.A)5 as of Feb 13, 2026
Mar 11, 20203 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 13, 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
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $578,874derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $4.9M, 6 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
- 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
- High-net-worth individuals$206M85%
- Individuals$36.0M15%
- Individual clients
- 83reported
- HNW clients
- 72reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 418reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.9M for 6 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• A•• M•••••Certified Financial Planner | Oro Valley, Az | Sep 13, 2017 | 32 y | 1 |
| J••• P••• D••••Certified Financial Planner | Oro Valley, Az | Sep 13, 2017 | 31 y | 3 |
| M••••• B•••• S•••••• | Oro Valley, Az | Dec 14, 2018 | 11 y | 0 |
| P•••• A•••••• F••••• | Oro Valley, Az | Jul 1, 2024 | 12 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
none on the tape
Joined, latest
- S••••••• A•• M••••• from U••••• C•••••• F•••••••• A•••••••Sep 13, 2017 · Other
- J••• P••• D•••• from U••••• C•••••• F•••••••• A•••••••Sep 13, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from U••••• C•••••• F•••••••• A•••••••Jan 2, 2018 · Oro Valley, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J•••• P••• · President & Chief Compliance Officercontrolsince 04/2003 · 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 |
|---|---|---|---|---|---|
| Oro Valley, Az · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 13, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-05, yes on the filing of 2026-02-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 384 to 418Dec 5, 2025 to Feb 13, 2026
- HNW clients · 80 to 72Dec 5, 2025 to Feb 13, 2026
- Individual clients · 65 to 83Dec 5, 2025 to Feb 13, 2026
- Assets in custody · $0 to $4.9MDec 5, 2025 to Feb 13, 2026
- Custody of client assets · false to trueDec 5, 2025 to Feb 13, 2026
- Discretionary RAUM · $193M to $241MDec 5, 2025 to Feb 13, 2026
- HNW RAUM · $171M to $206MDec 5, 2025 to Feb 13, 2026
- Individual RAUM · $22.1M to $36.0MDec 5, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $0 to $576,450Dec 5, 2025 to Feb 13, 2026
- RAUM · $193M to $242MDec 5, 2025 to Feb 13, 2026
- Accounts · 366 to 384Mar 26, 2024 to Feb 4, 2025
- HNW clients · 76 to 80Mar 26, 2024 to Feb 4, 2025
- Individual clients · 63 to 65Mar 26, 2024 to Feb 4, 2025
- Employees · 4 to 5Mar 26, 2024 to Feb 4, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Feb 4, 2025
- State-registered IARs · 3 to 4Mar 26, 2024 to Feb 4, 2025
- Discretionary RAUM · $171M to $193MMar 26, 2024 to Feb 4, 2025
- HNW RAUM · $151M to $171MMar 26, 2024 to Feb 4, 2025
- Individual RAUM · $20.0M to $22.1MMar 26, 2024 to Feb 4, 2025
- RAUM · $171M to $193MMar 26, 2024 to Feb 4, 2025
- Accounts · 356 to 366Aug 16, 2023 to Mar 26, 2024
- Advisory employees · 3 to 4Aug 16, 2023 to Mar 26, 2024
- HNW clients · 77 to 76Aug 16, 2023 to Mar 26, 2024
- Individual clients · 60 to 63Aug 16, 2023 to Mar 26, 2024
- Employees · 3 to 4Aug 16, 2023 to Mar 26, 2024
- Financial planning clients · 1-10 to 101-250Aug 16, 2023 to Mar 26, 2024
- Discretionary RAUM · $140M to $171MAug 16, 2023 to Mar 26, 2024
- HNW RAUM · $125M to $151MAug 16, 2023 to Mar 26, 2024
- Individual RAUM · $15.4M to $20.0MAug 16, 2023 to Mar 26, 2024
- RAUM · $140M to $171MAug 16, 2023 to Mar 26, 2024
- Accounts · 350 to 356Jul 22, 2022 to Jan 10, 2023
- Corporate clients · 1 to 0Jul 22, 2022 to Jan 10, 2023
- HNW clients · 61 to 77Jul 22, 2022 to Jan 10, 2023
- Individual clients · 81 to 60Jul 22, 2022 to Jan 10, 2023
- Discretionary RAUM · $154M to $140MJul 22, 2022 to Jan 10, 2023
- HNW RAUM · $129M to $125MJul 22, 2022 to Jan 10, 2023
- Individual RAUM · $31.9M to $15.4MJul 22, 2022 to Jan 10, 2023
- Non-discretionary RAUM · $8.4M to $0Jul 22, 2022 to Jan 10, 2023
- RAUM · $163M to $140MJul 22, 2022 to Jan 10, 2023
- Accounts · 342 to 350Jul 29, 2021 to Mar 7, 2022
Signals
2 dated events
- L V•••••• D•••• (Cfo) no longer on Schedule A of N•• W••••• M••••••••• (listed 2022-03-07, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- N••••••••• R••••••••• G•••• filed its initial SEC registration (Form ADV)Apr 25, 2019 · 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
- info@n•••••••••retirement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-818-7822reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-818-0181reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- navigationretirement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (520) 818-7822reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- navigationretirement.com/contactreportedpublished 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
- $60.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026