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.

Former SEC-registered adviser

Johnson Wealth Management, LLC

Former SEC-registered adviserPhoenix, ArizonaCRD 306504SEC 801-118126IAPD
Latest filing Sep 6, 2023
First filing on the tape Jan 27, 2020 · 15 filings
RAUM
$6.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$6.2M as of Mar 28, 2023
Jan 19, 2021$2.8M then
HNW client RAUM$5.2M as of Mar 28, 2023
Jan 19, 2021$2.4M then
State-registered IARs (5.B.3)4 as of Mar 28, 2023
Jan 19, 20213 then
Employees (5.A)10 as of Mar 28, 2023
Jan 19, 20213 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Sep 6, 2023; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$773,772derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+33%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, 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$5.2M83%
  • Individuals$1.0M17%
Individual clients
3reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T Marc Giannone · President & Chief Compliance Officercontrol
    since 01/2020 · owns less than 5%
  • T Marc Giannone · Shareholdercontrol
    since 03/2017 · owns 50% to 75% of Eaton-Cambridge Inc.
  • Ralph Robert Korljan · Shareholdercontrol
    since 03/2017 · owns 25% to 50% of Eaton-Cambridge Inc.
Entity owners
  • Eaton-Cambridge Inc. · Member
    direct · owns 75% or more
  • Johnson Wealth Group LLC · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Phoenix, Az · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 25 to 8
    May 16, 2022 to Mar 28, 2023
  • HNW clients · 2 to 5
    May 16, 2022 to Mar 28, 2023
  • Individual clients · 4 to 3
    May 16, 2022 to Mar 28, 2023
  • Employees · 5 to 10
    May 16, 2022 to Mar 28, 2023
  • Financial planning clients · 0 to 1-10
    May 16, 2022 to Mar 28, 2023
  • Discretionary RAUM · $4.9M to $6.2M
    May 16, 2022 to Mar 28, 2023
  • HNW RAUM · $3.5M to $5.2M
    May 16, 2022 to Mar 28, 2023
  • Individual RAUM · $1.4M to $1.0M
    May 16, 2022 to Mar 28, 2023
  • RAUM · $4.9M to $6.2M
    May 16, 2022 to Mar 28, 2023
  • Related insurance company · true to false
    May 16, 2022 to Mar 28, 2023
  • Accounts · 11 to 25
    Nov 30, 2021 to Mar 29, 2022
  • Advisory employees · 3 to 4
    Nov 30, 2021 to Mar 29, 2022
  • Advisory activities · 3 to 5
    Nov 30, 2021 to Mar 29, 2022
  • HNW clients · 1 to 2
    Nov 30, 2021 to Mar 29, 2022
  • Individual clients · 1 to 4
    Nov 30, 2021 to Mar 29, 2022
  • Employees · 3 to 5
    Nov 30, 2021 to Mar 29, 2022
  • Insurance-licensed employees · 3 to 4
    Nov 30, 2021 to Mar 29, 2022
  • State-registered IARs · 3 to 4
    Nov 30, 2021 to Mar 29, 2022
  • Discretionary RAUM · $2.8M to $4.9M
    Nov 30, 2021 to Mar 29, 2022
  • HNW RAUM · $2.4M to $3.5M
    Nov 30, 2021 to Mar 29, 2022
  • Individual RAUM · $397,680 to $1.4M
    Nov 30, 2021 to Mar 29, 2022
  • RAUM · $2.8M to $4.9M
    Nov 30, 2021 to Mar 29, 2022
  • Related insurance company · false to true
    Nov 30, 2021 to Mar 29, 2022
  • Accounts · 0 to 11
    Nov 23, 2020 to Jan 19, 2021
  • Charity clients · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • Corporate clients · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • HNW clients · unset to 1.0
    Nov 23, 2020 to Jan 19, 2021
  • Individual clients · unset to 1.0
    Nov 23, 2020 to Jan 19, 2021
  • Pension plan clients · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • Pooled vehicle clients · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • Discretionary RAUM · $0 to $2.8M
    Nov 23, 2020 to Jan 19, 2021
  • HNW RAUM · unset to 2426763.0
    Nov 23, 2020 to Jan 19, 2021
  • Individual RAUM · unset to 397680.0
    Nov 23, 2020 to Jan 19, 2021
  • Pension RAUM · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • Pooled vehicle RAUM · unset to 0.0
    Nov 23, 2020 to Jan 19, 2021
  • RAUM · $0 to $2.8M
    Nov 23, 2020 to Jan 19, 2021
Signals
6 dated events
  • Robert Ralph Korljan left Johnson Wealth Management, Llc for 724 Capital, Llc (registered 2024-10-07)
    Mar 25, 2024 · Advisor changed firm · fact
  • Brian Austin Hagan left Johnson Wealth Management, Llc for Eaton-Cambridge Inc. (registered 2023-03-10)
    Mar 25, 2024 · Advisor changed firm · fact
  • Nathan Bergstrom no longer registered at Johnson Wealth Management, Llc; no later IA registration on IAPD
    Mar 25, 2024 · Advisor departure · fact
  • Marc T Giannone no longer registered at Johnson Wealth Management, Llc; no later IA registration on IAPD
    Mar 25, 2024 · Advisor departure · fact
  • Ralph Robert Korljan (Shareholder) appeared on Schedule A of Johnson Wealth Management, Llc
    Apr 16, 2020 · Control person joined · fact
  • Johnson Wealth Management, Llc filed its initial SEC registration (Form ADV)
    Jan 27, 2020 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026