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••••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Dec 3, 2017 · 27 filings
SEC status approved since Dec 3, 2020
RAUM
$223M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$211M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$223M as of Apr 16, 2026
Mar 18, 2019$89.3M then
HNW client RAUM$124M as of Apr 16, 2026
Mar 18, 2019$34.6M then
State-registered IARs (5.B.3)3 as of Apr 16, 2026
Mar 18, 20197 then
Employees (5.A)5 as of Apr 16, 2026
Mar 18, 20199 then
Private funds1 as of Apr 16, 2026
Mar 30, 20231 then
RAUM +48% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 16, 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
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $74.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $204,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +48%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$124M56%
- Individuals$86.5M39%
- Pooled investment vehicles$4.7M2.1%
- Pension and profit-sharing plans$4.6M2.1%
- Charitable organizations$3.0M1.3%
- Individual clients
- 415reported
- HNW clients
- 64reported
- Pension plan clients
- 1reported
- Charitable clients
- 10reported
- Accounts
- 1,091reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.02 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D•••• R•••••••Certified Financial Planner | Phoenix, Az | Jan 12, 2018 | 25 y | 2 |
| D••••• J•••• L•••••• | Phoenix, Az | Jan 12, 2018 | 45 y | 5 |
| J•••• L•• M••••••Certified Financial Planner | Phoenix, Az | May 7, 2018 | 25 y | 3 |
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 headcount1 left over 36 months
Left, latest
- J•••• B• R•••• to B••••••••• W••••• A•••••••• L••Apr 23, 2024 · Other
- D••••• E••••• Z••••••• to T•• B••••• L••• W••••• M••••••••• L•••Sep 4, 2020 · RIA to a state-registered adviser
- P••• C• J•••• to V•••••Jun 20, 2019 · Other
- D••••• W•••••• V••••••• to V•••••Jun 3, 2019 · Other
Joined, latest
- D••••• E••••• Z••••••• from S••••••••• A•••••• A•••••••• I•••Jul 7, 2020 · Affiliated broker-dealer or bank to independent RIA
- P••• C• J•••• from C••••• A••••••• L••Apr 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• L•• M•••••• from G••• L••• A•••••••• L••May 7, 2018 · RIA to a newly registered adviser
- B•••• D•••• R••••••• from P•••••• A•••••• G••••• L••Jan 12, 2018 · Other
- D••••• W•••••• V••••••• from L•• F•••••••• L••Jan 12, 2018 · Other
- J•••• B• R•••• from P•••••• A•••••• G••••• L••Jan 12, 2018 · Other
- D••••• J•••• L•••••• from P•••••• A•••••• G••••• L••Jan 12, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•••••• A•••••• G••••• L••Jan 10, 2018 · Phoenix, Az
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• S•••••••• O••••••••• F••• L• | Hedge Fund | $3.2M | 8 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- R•••••••• B••••• D•••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- R•••••••• B••••• D•••• · Managing Membercontrolsince 06/2007 · owns 75% or more of R••••••• F•••••••• A•••••••• L•••••
Entity owners
- R••••••• F•••••••• A•••••••• L••••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• I•••••••• G••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pinetop, AZ1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 16, 2026accounts (Item 5.F.2.f) moved from 422.0 to 1,091.0 (+159.0%) between the annual amendments of 2025-03-26 and 2026-04-16; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
- RAUM up 25 %Change between filings · filing Apr 16, 2026RAUM (Item 5.F) moved from $150,495,638 to $222,806,601 (+48.0%) between the annual amendments of 2025-03-26 and 2026-04-16; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 422 to 1,091Mar 26, 2025 to Mar 6, 2026
- Charity clients · 9 to 10Mar 26, 2025 to Mar 6, 2026
- HNW clients · 62 to 64Mar 26, 2025 to Mar 6, 2026
- Individual clients · 344 to 415Mar 26, 2025 to Mar 6, 2026
- Pooled vehicle clients · 6 to 1Mar 26, 2025 to Mar 6, 2026
- Discretionary RAUM · $150M to $223MMar 26, 2025 to Mar 6, 2026
- HNW RAUM · $89.0M to $124MMar 26, 2025 to Mar 6, 2026
- Individual RAUM · $52.4M to $86.5MMar 26, 2025 to Mar 6, 2026
- Pension RAUM · $3.4M to $4.6MMar 26, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $3.6M to $4.7MMar 26, 2025 to Mar 6, 2026
- RAUM · $150M to $223MMar 26, 2025 to Mar 6, 2026
- Accounts · 1,043 to 422Sep 23, 2024 to Mar 26, 2025
- Advisory employees · 5 to 3Sep 23, 2024 to Mar 26, 2025
- Charity clients · 8 to 9Sep 23, 2024 to Mar 26, 2025
- Corporate clients · 2 to 0Sep 23, 2024 to Mar 26, 2025
- HNW clients · 55 to 62Sep 23, 2024 to Mar 26, 2025
- Individual clients · 396 to 344Sep 23, 2024 to Mar 26, 2025
- Pooled vehicle clients · 1 to 6Sep 23, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 11-25Sep 23, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 3Sep 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $148M to $150MSep 23, 2024 to Mar 26, 2025
- HNW RAUM · $64.4M to $89.0MSep 23, 2024 to Mar 26, 2025
- Individual RAUM · $74.5M to $52.4MSep 23, 2024 to Mar 26, 2025
- Pension RAUM · $3.2M to $3.4MSep 23, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $3.2M to $3.6MSep 23, 2024 to Mar 26, 2025
- RAUM · $148M to $150MSep 23, 2024 to Mar 26, 2025
- Accounts · 972 to 1,043Sep 18, 2023 to Mar 18, 2024
- Advisory activities · 3 to 4Sep 18, 2023 to Mar 18, 2024
- Corporate clients · 6 to 2Sep 18, 2023 to Mar 18, 2024
- HNW clients · 53 to 55Sep 18, 2023 to Mar 18, 2024
- Individual clients · 363 to 396Sep 18, 2023 to Mar 18, 2024
- Assets in custody · 2228000.0 to unsetSep 18, 2023 to Mar 18, 2024
- Custody of client assets · true to falseSep 18, 2023 to Mar 18, 2024
- Employees · 7 to 5Sep 18, 2023 to Mar 18, 2024
- Financial planning clients · 11-25 to 1-10Sep 18, 2023 to Mar 18, 2024
- Discretionary RAUM · $131M to $148MSep 18, 2023 to Mar 18, 2024
- HNW RAUM · $58.4M to $64.4MSep 18, 2023 to Mar 18, 2024
- Individual RAUM · $65.9M to $74.5MSep 18, 2023 to Mar 18, 2024
- Pension RAUM · $1.9M to $3.2MSep 18, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $2.2M to $3.2MSep 18, 2023 to Mar 18, 2024
Signals
4 dated events
- B James Regan (Managing Member) no longer on Schedule A of S••••••••• L•• (listed 2024-04-26, absent 2024-09-23)Sep 23, 2024 · Control person left · inference
- J•••• B• R•••• left S••••••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2024-02-12)Apr 23, 2024 · a•••••• firm change · fact
- Winston Dolman Vineyard (Managing Member) no longer on Schedule A of S••••••••• L•• (listed 2019-04-29, absent 2019-06-05)Jun 5, 2019 · Control person left · inference
- S••••••••• L•• filed its initial SEC registration (Form ADV)Dec 3, 2017 · 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
- erin.crosby@sharpepoint.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sharpepoint@sharpepoint.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- wendy.orellana@sharpepoint.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-999-3033reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sharpepoint-private-client-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-999-3033reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- sharpepoint.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- sharpepoint.com/teamreportedpublished 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
- $74.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026