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••••••••
Legal name F••••• F••••••••• L••
Latest filing Apr 16, 2026
First filing on the tape May 1, 2025 · 6 filings
SEC status approved since Apr 30, 2025
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$161M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$161M as of Apr 16, 2026
May 1, 2025$122M then
HNW client RAUM$151M as of Apr 16, 2026
May 1, 2025$118M then
State-registered IARs (5.B.3)3 as of Apr 16, 2026
May 1, 20252 then
Employees (5.A)3 as of Apr 16, 2026
May 1, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $672,697derivedRAUM 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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $161MreportedItem 5.I
- Custody
- $81.0M, 48 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M94%
- Individuals$10.3M6.4%
- Individual clients
- 22reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 240reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $81.0M for 48 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| J••••••• D•••• B•••Certified Financial Planner | Phoenix, Az | Nov 6, 2019 | 12 y | 2 |
| G•••••• R••• B•••••••••Certified Financial Planner, Chartered Financial Analyst | Peoria, Az | Apr 23, 2024 | 17 y | 2 |
| M•••••• A•• A••••• | Phoenix, Az | May 2, 2025 | 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 headcount1 left over 36 months
Left, latest
- C••••• H•••••• to W••••• W••••• M••••••••• C••••••• A• L•••••• L•••••••• C••••••Jan 14, 2025 · RIA to RIA
Joined, latest
- C••••• H•••••• from F••••• I•••••••••May 16, 2024 · RIA to RIA
- G•••••• R••• B••••••••• from S••••• W••••• A•••••••• I•••Apr 23, 2024 · Other
- J••••••• D•••• B••• from S••••• W••••• A•••••••• I•••Nov 6, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 4 to 3Feb 26, 2026 to Apr 16, 2026
- State-registered IARs · 4 to 3Feb 26, 2026 to Apr 16, 2026
- Other offices · 3 to 2Feb 26, 2026 to Apr 16, 2026
- Accounts · 180 to 240Aug 27, 2025 to Feb 26, 2026
- Advisory employees · 4 to 3Aug 27, 2025 to Feb 26, 2026
- Individual clients · 11 to 22Aug 27, 2025 to Feb 26, 2026
- Assets in custody · $33.8M to $81.0MAug 27, 2025 to Feb 26, 2026
- Discretionary RAUM · $122M to $161MAug 27, 2025 to Feb 26, 2026
- HNW RAUM · $118M to $151MAug 27, 2025 to Feb 26, 2026
- Individual RAUM · $4.1M to $10.3MAug 27, 2025 to Feb 26, 2026
- RAUM · $122M to $161MAug 27, 2025 to Feb 26, 2026
- Advisory employees · 2 to 4May 2, 2025 to Jul 25, 2025
- Advisory activities · 5 to 4May 2, 2025 to Jul 25, 2025
- Financial planning clients · 51-100 to 51-100May 2, 2025 to Jul 25, 2025
- State-registered IARs · 2 to 4May 2, 2025 to Jul 25, 2025
- Other offices · 1 to 3May 2, 2025 to Jul 25, 2025
Signals
1 dated events
- C••••• H•••••• left F••••• F•••••••• for W••••• W••••• M••••••••• C••••••• A• L•••••• L•••••••• C•••••• (registered 2025-04-24)Jan 14, 2025 · Advisor changed firm · 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
- 602-603-4000reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/farnam-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (602) 603-4000reportedpublic record, Form ADV, Apr 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
- $53.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026