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
V•••• C••• W••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 28, 2024 · 7 filings
SEC status approved since Apr 26, 2024
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$143M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.5M
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$143M as of Mar 11, 2026
Feb 12, 2025$117M then
HNW client RAUM$73.7M as of Mar 11, 2026
Feb 12, 2025$64.3M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Feb 12, 20253 then
Employees (5.A)3 as of Mar 11, 2026
Feb 12, 20253 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 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
- $47.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $207,488derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$73.7M52%
- Individuals$68.8M48%
- Individual clients
- 235reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 687reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• L•• K•••••• | Surprise, Az | Sep 13, 2019 | 17 y | 2 |
| J••• M•••••• Z•••• | Surprise, Az | Feb 12, 2020 | 12 y | 1 |
| P•••••• W•••••• R•••••• | Surprise, Az | Jan 18, 2022 | 12 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
- J••• M•••••• Z•••• from E••••• J••••Feb 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••••• L•• K•••••• from W•••• F•••• A•••••••Sep 13, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• B••••••• L•• · Managing Membercontrolsince 05/2019 · owns 50% to 75%
- Z••••• J•••• M•••••• · Chief Compliance Officer/Managing Membercontrolsince 04/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Surprise, Az | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 682 to 687Mar 26, 2025 to Mar 11, 2026
- HNW clients · 27 to 31Mar 26, 2025 to Mar 11, 2026
- Individual clients · 178 to 235Mar 26, 2025 to Mar 11, 2026
- Discretionary RAUM · $116M to $142MMar 26, 2025 to Mar 11, 2026
- HNW RAUM · $64.3M to $73.7MMar 26, 2025 to Mar 11, 2026
- Individual RAUM · $52.5M to $68.8MMar 26, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $760,899 to $701,110Mar 26, 2025 to Mar 11, 2026
- RAUM · $117M to $143MMar 26, 2025 to Mar 11, 2026
- Insurance-licensed employees · 1 to 0Feb 12, 2025 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Feb 12, 2025 to Mar 26, 2025
- Accounts · 615 to 682Dec 4, 2024 to Feb 12, 2025
- HNW clients · 24 to 27Dec 4, 2024 to Feb 12, 2025
- Individual clients · 223 to 178Dec 4, 2024 to Feb 12, 2025
- Pooled vehicle clients · 1 to 0Dec 4, 2024 to Feb 12, 2025
- Financial planning clients · 101-250 to 51-100Dec 4, 2024 to Feb 12, 2025
- HQ city · unset to Dec 4, 2024 to Feb 12, 2025
- HQ state · unset to Dec 4, 2024 to Feb 12, 2025
- Discretionary RAUM · $103M to $116MDec 4, 2024 to Feb 12, 2025
- HNW RAUM · $56.5M to $64.3MDec 4, 2024 to Feb 12, 2025
- Individual RAUM · $46.3M to $52.5MDec 4, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $173,820 to $760,899Dec 4, 2024 to Feb 12, 2025
- Pooled vehicle RAUM · $371,600 to $0Dec 4, 2024 to Feb 12, 2025
- RAUM · $103M to $117MDec 4, 2024 to Feb 12, 2025
Signals
1 dated events
- V•••• C••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 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 phone
- 623-230-4110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 623-230-6967reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-315-4121reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- v••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 623-230-4110reportedpublic record, Form ADV, Mar 11, 2026
- Team page
- v••••••••.comreportedpublished 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
- $47.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026