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•••••••• A•••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Feb 8, 2024 · 7 filings
SEC status approved since Mar 13, 2024
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$140M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$142M as of Aug 24, 2026
Jan 28, 2025$104M then
HNW client RAUM$92.8M as of Aug 24, 2026
Jan 28, 2025$67.7M then
State-registered IARs (5.B.3)3 as of Aug 24, 2026
Jan 28, 20253 then
Employees (5.A)3 as of Aug 24, 2026
Jan 28, 20253 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $305,585derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.8M65%
- Individuals$47.7M34%
- Charitable organizations$906,8560.6%
- Corporations and businesses$699,1920.5%
- Individual clients
- 136reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 465reported
- Financial planning clients
- 11-25reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••••• J•••• | Cave Creek, Az | Oct 19, 2018 | 18 y | 5 |
| T•••••• A••••• M••••••• | Cave Creek, Az | Aug 7, 2019 | 29 y | 1 |
| A•••• M•••••• C•••••Certified Financial Planner | Cave Creek, Az | Oct 21, 2022 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••• M•••••• C••••• from C••••••• P•••••••Oct 21, 2022 · RIA to RIA
- T•••••• A••••• M••••••• from V••••••• W••••• M••••••••• L••Aug 7, 2019 · RIA to RIA
- J•••••• M•••••• J•••• from H••••••• W••••• M••••••••• L••Oct 19, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• J••••••• M•••••• · Managing Member/Ccocontrolsince 08/2018 · 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 |
|---|---|---|---|---|---|
| Cave Creek, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 440 to 465Feb 16, 2026 to Aug 24, 2026
- Individual clients · 134 to 136Feb 16, 2026 to Aug 24, 2026
- Discretionary RAUM · $129M to $142MFeb 16, 2026 to Aug 24, 2026
- HNW RAUM · $85.2M to $92.8MFeb 16, 2026 to Aug 24, 2026
- Individual RAUM · $41.8M to $47.7MFeb 16, 2026 to Aug 24, 2026
- RAUM · $129M to $142MFeb 16, 2026 to Aug 24, 2026
- Accounts · 412 to 440Jan 28, 2025 to Feb 16, 2026
- HNW clients · 40 to 48Jan 28, 2025 to Feb 16, 2026
- Individual clients · 127 to 134Jan 28, 2025 to Feb 16, 2026
- Discretionary RAUM · $104M to $129MJan 28, 2025 to Feb 16, 2026
- HNW RAUM · $67.7M to $85.2MJan 28, 2025 to Feb 16, 2026
- Individual RAUM · $34.9M to $41.8MJan 28, 2025 to Feb 16, 2026
- RAUM · $104M to $129MJan 28, 2025 to Feb 16, 2026
- Accounts · 499 to 412Apr 3, 2024 to Jan 28, 2025
- HNW clients · 47 to 40Apr 3, 2024 to Jan 28, 2025
- Individual clients · 140 to 127Apr 3, 2024 to Jan 28, 2025
- Financial planning clients · 11-25 to 11-25Apr 3, 2024 to Jan 28, 2025
- Discretionary RAUM · $118M to $104MApr 3, 2024 to Jan 28, 2025
- HNW RAUM · $74.1M to $67.7MApr 3, 2024 to Jan 28, 2025
- Individual RAUM · $40.6M to $34.9MApr 3, 2024 to Jan 28, 2025
- RAUM · $118M to $104MApr 3, 2024 to Jan 28, 2025
- Advisory employees · 4 to 3Mar 8, 2024 to Mar 19, 2024
- Employees · 4 to 3Mar 8, 2024 to Mar 19, 2024
- Insurance-licensed employees · 1 to 0Mar 8, 2024 to Mar 19, 2024
- State-registered IARs · 4 to 3Mar 8, 2024 to Mar 19, 2024
- Related adviser · true to falseMar 8, 2024 to Mar 19, 2024
Signals
1 dated events
- F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2024 · 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@foothillsadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-488-3825reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- foothillsadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-203-8879reportedpublic record, Form ADV, Aug 24, 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026