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
F••••• F•••••••• G••••• L••
Latest filing Apr 21, 2026
First filing on the tape Dec 14, 2017 · 44 filings
SEC status approved since Jan 25, 2018
RAUM
$632M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$585M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$632M as of Apr 21, 2026
Mar 29, 2019$244M then
HNW client RAUM$522M as of Apr 21, 2026
Mar 29, 2019$173M then
State-registered IARs (5.B.3)5 as of Apr 21, 2026
Mar 29, 20193 then
Employees (5.A)10 as of Apr 21, 2026
Mar 29, 20195 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 21, 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
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $606,416derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $158M, 130 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$522M83%
- Individuals$63.2M10%
- Charitable organizations$32.7M5.2%
- Corporations and businesses$13.5M2.1%
- Pension and profit-sharing plans$400,0910.1%
- Individual clients
- 193reported
- HNW clients
- 140reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 1,042reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 130 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=1.0 bank_owner=falsederived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• G•••••• R••••• | Palm Desert, Ca | Feb 9, 2018 | 26 y | 3 |
| B•••• C•••••• D•••••••• | Palm Desert, Ca | Feb 9, 2018 | 21 y | 3 |
| B•••• P••• A••••• | Palm Desert, Ca | Jul 20, 2018 | 28 y | 3 |
| C••• R••••• P••• | Palm Desert, Ca | Oct 2, 2024 | 10 y | 1 |
| N••••• R•••••• A•••• | Palm Desert, Ca | Apr 28, 2025 | 12 y | 0 |
| B•••••• L•• G•• | Palm Desert, Ca | Sep 9, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- S•••• O•••••• to B••••••• R••••••••• A•••••••• L••Oct 11, 2023 · RIA to RIA
Joined, latest
- C••• R••••• P••• from M•• I•••••••• S•••••••• L••Oct 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• O•••••• from S•••• B••••••• R••••••••• P•••Jul 17, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F••••• F••••••••• L••Feb 9, 2018 · Palm Desert, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• B••••• P••• · Chief Executive Officercontrolsince 01/2018 · owns less than 5%
- D••••••••• B••••• C•••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- R•••••• J•••••• G•••••• · Chief O•••••••• Officercontrolsince 01/2018 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Desert, Ca · principal | 6 | 1 | 0 | ||
| Mesa, Az | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chandler, AZ1 employees
- Mesa, AZ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 957 to 1,042Nov 12, 2025 to Mar 23, 2026
- Charity clients · 4 to 3Nov 12, 2025 to Mar 23, 2026
- Corporate clients · 12 to 9Nov 12, 2025 to Mar 23, 2026
- HNW clients · 126 to 140Nov 12, 2025 to Mar 23, 2026
- Individual clients · 173 to 193Nov 12, 2025 to Mar 23, 2026
- Assets in custody · $149M to $158MNov 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $523M to $627MNov 12, 2025 to Mar 23, 2026
- HNW RAUM · $429M to $522MNov 12, 2025 to Mar 23, 2026
- Individual RAUM · $54.5M to $63.2MNov 12, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $5.9M to $5.2MNov 12, 2025 to Mar 23, 2026
- Pension RAUM · $414,203 to $400,091Nov 12, 2025 to Mar 23, 2026
- RAUM · $529M to $632MNov 12, 2025 to Mar 23, 2026
- Accounts · 892 to 957Feb 25, 2025 to Apr 29, 2025
- Advisory employees · 5 to 6Feb 25, 2025 to Apr 29, 2025
- Charity clients · 10 to 4Feb 25, 2025 to Apr 29, 2025
- Corporate clients · 11 to 12Feb 25, 2025 to Apr 29, 2025
- HNW clients · 114 to 126Feb 25, 2025 to Apr 29, 2025
- Individual clients · 164 to 173Feb 25, 2025 to Apr 29, 2025
- Pension plan clients · 1 to 2Feb 25, 2025 to Apr 29, 2025
- Assets in custody · $92.1M to $149MFeb 25, 2025 to Apr 29, 2025
- Employees · 8 to 10Feb 25, 2025 to Apr 29, 2025
- Financial planning clients · 251-500 to 101-250Feb 25, 2025 to Apr 29, 2025
- State-registered IARs · 4 to 5Feb 25, 2025 to Apr 29, 2025
- Other offices · 3 to 2Feb 25, 2025 to Apr 29, 2025
- Discretionary RAUM · $432M to $523MFeb 25, 2025 to Apr 29, 2025
- HNW RAUM · $364M to $429MFeb 25, 2025 to Apr 29, 2025
- Individual RAUM · $43.9M to $54.5MFeb 25, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $5.9M to $5.9MFeb 25, 2025 to Apr 29, 2025
- Pension RAUM · $52,500 to $414,203Feb 25, 2025 to Apr 29, 2025
- RAUM · $438M to $529MFeb 25, 2025 to Apr 29, 2025
- Related insurance company · false to trueFeb 25, 2025 to Apr 29, 2025
- Accounts · 851 to 892Feb 13, 2024 to Mar 27, 2024
- Charity clients · 4 to 10Feb 13, 2024 to Mar 27, 2024
- Corporate clients · 7 to 11Feb 13, 2024 to Mar 27, 2024
- HNW clients · 105 to 114Feb 13, 2024 to Mar 27, 2024
- Individual clients · 149 to 164Feb 13, 2024 to Mar 27, 2024
- Pension plan clients · 0 to 1Feb 13, 2024 to Mar 27, 2024
- Assets in custody · $96.2M to $92.1MFeb 13, 2024 to Mar 27, 2024
- Employees · 7 to 8Feb 13, 2024 to Mar 27, 2024
- Financial planning clients · 101-250 to 251-500Feb 13, 2024 to Mar 27, 2024
Signals
3 dated events
- S•••• O•••••• left F••••• F•••••••• G••••• L•• for B••••••• R••••••••• A•••••••• L•• (registered 2023-12-14)Oct 11, 2023 · Advisor changed firm · fact
- F••••• F•••••••• G••••• L•• reported RAUM $467.3M, up 47% from $317.4M (2021-09-23 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- F••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Dec 14, 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
- b••••••• email
- team@fortemloans.comreportedpublished by the firm, firm site, Sep 15, 2026
- b••••••• email
- lkazandjian@fortemloans.comreportedpublished by the firm, firm site, Sep 15, 2026
- b••••••• email
- vsickenberger@fortemloans.comreportedpublished by the firm, firm site, Sep 15, 2026
- b••••••• phone
- 760-206-8500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fortem-loans-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/fortem-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fortemloans.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-206-8500reportedpublic record, Form ADV, Apr 21, 2026
- Contact form
- fortemloans.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026