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
P•••••• I•••••••••
Legal name P•••••• A••••••• S••••••• L••
Latest filing May 25, 2026
First filing on the tape May 1, 2025 · 3 filings
SEC status approved since Apr 22, 2025
RAUM
$198M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$196M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$49.4M
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
3 filings and snapshots on the tape
RAUM$198M as of May 25, 2026
May 1, 2025$146M then
HNW client RAUM$23.1M as of May 25, 2026
May 1, 2025$13.7M then
State-registered IARs (5.B.3)4 as of May 25, 2026
May 1, 20253 then
Employees (5.A)5 as of May 25, 2026
May 1, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $49.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 632derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $78,258derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$173M88%
- High-net-worth individuals$23.1M12%
- Pension and profit-sharing plans$1.2M0.6%
- Charitable organizations$105,0000.1%
- Individual clients
- 2,509reported
- HNW clients
- 17reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 2,526reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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•••• D•••• P•••••• | Kingman, Az | Oct 5, 2017 | 28 y | 2 |
| S••• D••• S••••• | Kingman, Az | May 4, 2021 | 16 y | 0 |
| K•••• D••• S••••••• | Kingman, Az | Feb 25, 2022 | 28 y | 0 |
| A•••••• J••• C••••••• | Kingman, Az | May 13, 2026 | 15 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•••• D•••• P•••••• from C••••• A••••••• L••Oct 5, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• S••••• D•••• · Managing Member/ Chief Compliance Officercontrolsince 08/2017 · 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 |
|---|---|---|---|---|---|
| Kingman, Az · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing May 25, 2026private clients per advisor of 631.5 against a peer median of 57.3 (3076 comparable advisers, 100.0th percentile, 16.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 100% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 17, 2026 to May 25, 2026
- Employees · 4 to 5Mar 17, 2026 to May 25, 2026
- State-registered IARs · 3 to 4Mar 17, 2026 to May 25, 2026
- Accounts · 2,142 to 2,526May 1, 2025 to Mar 17, 2026
- Charity clients · unset to 1.0May 1, 2025 to Mar 17, 2026
- HNW clients · 9 to 17May 1, 2025 to Mar 17, 2026
- Individual clients · 1,268 to 2,509May 1, 2025 to Mar 17, 2026
- Discretionary RAUM · $146M to $198MMay 1, 2025 to Mar 17, 2026
- HNW RAUM · $13.7M to $23.1MMay 1, 2025 to Mar 17, 2026
- Individual RAUM · $132M to $173MMay 1, 2025 to Mar 17, 2026
- Pension RAUM · $293,546 to $1.2MMay 1, 2025 to Mar 17, 2026
- RAUM · $146M to $198MMay 1, 2025 to Mar 17, 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
- Business email
- b•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- m•••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 928-757-1600reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 928-757-8376reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 928-757-1600reportedpublic record, Form ADV, May 25, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $49.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026