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
T••••• W••••• M••••••••• P•••
Latest filing Jul 9, 2026
First filing on the tape Dec 20, 2017 · 21 filings
SEC status approved since Nov 16, 2018
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$405M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$45.0M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$405M as of Jul 9, 2026
Mar 13, 2019$170M then
HNW client RAUM$255M as of Jul 9, 2026
Mar 13, 2019$66.3M then
State-registered IARs (5.B.3)9 as of Jul 9, 2026
Mar 13, 20197 then
Employees (5.A)9 as of Jul 9, 2026
Mar 13, 20197 then
Private funds: no history
RAUM +6.7% over the last fiscal year+9.4% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jul 9, 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
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $234,296derivedRAUM 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
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $348M, 731 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
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$255M63%
- Individuals$150M37%
- Individual clients
- 706reported
- HNW clients
- 147reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,729reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $348M for 731 clientsreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•• D••••• | Sun City, Az | Nov 19, 2018 | 24 y | 2 |
| C••• L•• A••••• | Sun City, Az | Nov 23, 2018 | 18 y | 3 |
| W•••••• C••• M••••• | Surprise, Az | Nov 28, 2018 | 26 y | 2 |
| M•••••• C•••••• B••• | Sun City, Az | Jan 16, 2019 | 16 y | 3 |
| B•••• C•••••• S•••••• | Surprise, Az | Jan 17, 2019 | 17 y | 3 |
| A••••••••• M•••••• N••••• | Sun City, Az | Jan 17, 2019 | 15 y | 2 |
| E••• C•••••• B•••Certified Financial Planner | Sun City, Az | Feb 22, 2019 | 12 y | 0 |
| N•••••••• D••••••Certified Financial Planner | Surprise, Az | Oct 24, 2024 | 10 y | 1 |
| Z•••••• A•••• M•••••• | Sun City, Az | Mar 16, 2026 | 10 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
- N•••••••• D•••••• from E••••• J••••Oct 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••• C•••••• S•••••• from K•••••••• W••••• M••••••••• L••Jan 17, 2019 · Other
- A••••••••• M•••••• N••••• from K•••••••• W••••• M••••••••• L••Jan 17, 2019 · Other
- M•••••• C•••••• B••• from K•••••••• W••••• M••••••••• L••Jan 16, 2019 · Other
- W•••••• C••• M••••• from K•••••••• W••••• M••••••••• L••Nov 28, 2018 · Other
- C••• L•• A••••• from K•••••••• W••••• M••••••••• L••Nov 23, 2018 · Other
- D•••• L•• D••••• from K•••••••• W••••• M••••••••• L••Nov 19, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from K•••••••• W••••• M••••••••• L••Jan 31, 2019 · Sun City, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C•••• L•• · Managing Member & Chief Compliance Officercontrolsince 11/2018 · owns 25% to 50%
- B•••• M••••••• C•••••• · Managing Membercontrolsince 11/2018 · owns 25% to 50%
- D•••••• D••••• L•• · Managing Membercontrolsince 11/2018 · owns 25% to 50%
- M•••••• W••••••• C••• · Managing Membercontrolsince 11/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list T••••• W••••• M••••••••• P••• as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sun City, Az · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Surprise, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 1,373 to 1,729Jun 27, 2025 to Mar 6, 2026
- HNW clients · 121 to 147Jun 27, 2025 to Mar 6, 2026
- Individual clients · 688 to 706Jun 27, 2025 to Mar 6, 2026
- Assets in custody · $327M to $348MJun 27, 2025 to Mar 6, 2026
- Discretionary RAUM · $380M to $405MJun 27, 2025 to Mar 6, 2026
- HNW RAUM · $229M to $255MJun 27, 2025 to Mar 6, 2026
- Individual RAUM · $151M to $150MJun 27, 2025 to Mar 6, 2026
- RAUM · $380M to $405MJun 27, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Jun 27, 2025
- Accounts · 1,398 to 1,373Dec 16, 2024 to Mar 20, 2025
- Advisory employees · 8 to 9Dec 16, 2024 to Mar 20, 2025
- BD registered reps · 7 to 0Dec 16, 2024 to Mar 20, 2025
- HNW clients · 97 to 121Dec 16, 2024 to Mar 20, 2025
- Individual clients · 642 to 688Dec 16, 2024 to Mar 20, 2025
- Assets in custody · $282M to $327MDec 16, 2024 to Mar 20, 2025
- Employees · 8 to 9Dec 16, 2024 to Mar 20, 2025
- Insurance-licensed employees · 0 to 2Dec 16, 2024 to Mar 20, 2025
- State-registered IARs · 7 to 9Dec 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $307M to $380MDec 16, 2024 to Mar 20, 2025
- HNW RAUM · $191M to $229MDec 16, 2024 to Mar 20, 2025
- Individual RAUM · $116M to $151MDec 16, 2024 to Mar 20, 2025
- RAUM · $307M to $380MDec 16, 2024 to Mar 20, 2025
- Related adviser · false to trueDec 16, 2024 to Mar 20, 2025
- Related broker-dealer · true to falseDec 16, 2024 to Mar 20, 2025
- Accounts · 1,513 to 1,398Mar 3, 2023 to Feb 8, 2024
- BD registered reps · 8 to 7Mar 3, 2023 to Feb 8, 2024
- HNW clients · 103 to 97Mar 3, 2023 to Feb 8, 2024
- Individual clients · 694 to 642Mar 3, 2023 to Feb 8, 2024
- Assets in custody · $285M to $282MMar 3, 2023 to Feb 8, 2024
- State-registered IARs · 8 to 7Mar 3, 2023 to Feb 8, 2024
- Discretionary RAUM · $309M to $307MMar 3, 2023 to Feb 8, 2024
- HNW RAUM · $164M to $191MMar 3, 2023 to Feb 8, 2024
- Individual RAUM · $145M to $116MMar 3, 2023 to Feb 8, 2024
- RAUM · $309M to $307MMar 3, 2023 to Feb 8, 2024
- Related broker-dealer · false to trueMar 3, 2023 to Feb 8, 2024
- Accounts · 1,434 to 1,513Nov 2, 2022 to Mar 3, 2023
- Advisory employees · 7 to 8Nov 2, 2022 to Mar 3, 2023
- Advisory activities · 3 to 2Nov 2, 2022 to Mar 3, 2023
- BD registered reps · 6 to 8Nov 2, 2022 to Mar 3, 2023
- HNW clients · 95 to 103Nov 2, 2022 to Mar 3, 2023
Signals
1 dated events
- T••••• W••••• M••••••••• P••• filed its initial SEC registration (Form ADV)Oct 19, 2018 · 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
- Principal office phone
- (623) 209-0850reportedpublic record, Form ADV, Jul 9, 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
- $45.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026