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
A•••••• C•••••• L••
Latest filing Aug 17, 2026
First filing on the tape Jan 4, 2024 · 16 filings
SEC status approved since Feb 2, 2024
RAUM
$344M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$335M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$49.1M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$344M as of Aug 17, 2026
Apr 1, 2025$270M then
HNW client RAUM$281M as of Aug 17, 2026
Apr 1, 2025$220M then
State-registered IARs (5.B.3)7 as of Aug 17, 2026
Apr 1, 20257 then
Employees (5.A)7 as of Aug 17, 2026
Apr 1, 20257 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Aug 17, 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
- RAUM per advisor
- $49.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $491,485derivedRAUM 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
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$281M82%
- Individuals$53.9M16%
- Corporations and businesses$6.1M1.8%
- Charitable organizations$2.2M0.6%
- Individual clients
- 125reported
- HNW clients
- 116reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 699reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• S•••• B••••• | Tucson, Az | Jan 13, 2020 | 10 y | 1 |
| D•••• W•••••• K••••••• | Tucson, Az | Jan 13, 2020 | 10 y | 1 |
| J•••• A••••• G••• | Tucson, Az | Jan 13, 2020 | 10 y | 1 |
| A••••• M••••••• S•••••• | Tucson, Az | Jan 19, 2024 | 20 y | 0 |
| C••••••••• J••• C••••••••Chartered Financial Analyst | Tucson, Az | Jan 19, 2024 | 17 y | 0 |
| M•••••• W•••••• H•••••••Certified Financial Planner, Chartered Financial Analyst | Tucson, Az | Jan 22, 2024 | 17 y | 4 |
| J•••• A•• R•••• | Tucson, Az | Nov 5, 2025 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- T••• S•••• to A•••••• W••••• S••••••••• L••Sep 19, 2024 · RIA to a state-registered adviser
Joined, latest
- J•••• A•• R•••• from A••••••• F••••••••• L•••Nov 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• W•••••• H••••••• from H••••••• W••••• M•••••••••Jan 22, 2024 · Other
- T••• S•••• from H••••••• W••••• M•••••••••Jan 22, 2024 · Other
- D•••• W•••••• K••••••• from S••••••• I••••••••• M••••••••• L••Jan 13, 2020 · RIA to RIA
- A••• S•••• B••••• from S••••••• I••••••••• M••••••••• L••Jan 13, 2020 · RIA to RIA
- J•••• A••••• G••• from S••••••• I••••••••• M••••••••• L••Jan 13, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H••••••• W••••• M•••••••••Sep 4, 2024 · Tucson, Az
- 3 joined from S••••••• I••••••••• M••••••••• L••Jan 8, 2020 · Tucson, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• S•••• · Managing Partnercontrolsince 11/2019 · owns 25% to 50%
- G•••• J••••• A••••• · Managing Partner & Chief Investment Officercontrolsince 11/2019 · owns 25% to 50%
- K•••••••• D••••• W•••••• · Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- B•••••• A•••• S•••• · Ownercontrolsince 01/2024 · owns 75% or more of A•• C•••••• L••
- H•••••••• M••••••• W•••••• · Ownercontrolsince 01/2024 · owns 75% or more of M•• I••••••••• L••
- K•••••••• D••••• W•••••• · Ownercontrolsince 01/2024 · owns 75% or more of D•• C•••••• L••
Entity owners
- A•• C•••••• L•• · Partnerdirect · owns 25% to 50%
- D•• C•••••• L•• · Partnerdirect · owns 25% to 50%
- M•• I••••••••• L•• · Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••• W•••••• K••••••• C••insurancey
- M•• I••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tucson, Az · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- S••••Sdale, AZ7 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7May 14, 2026 to Aug 17, 2026
- Employees · 8 to 7May 14, 2026 to Aug 17, 2026
- State-registered IARs · 8 to 7May 14, 2026 to Aug 17, 2026
- Accounts · 682 to 699Nov 14, 2025 to Mar 3, 2026
- Charity clients · 5 to 3Nov 14, 2025 to Mar 3, 2026
- Corporate clients · 9 to 2Nov 14, 2025 to Mar 3, 2026
- HNW clients · 115 to 116Nov 14, 2025 to Mar 3, 2026
- Individual clients · 124 to 125Nov 14, 2025 to Mar 3, 2026
- Discretionary RAUM · $318M to $344MNov 14, 2025 to Mar 3, 2026
- HNW RAUM · $261M to $281MNov 14, 2025 to Mar 3, 2026
- Individual RAUM · $49.3M to $53.9MNov 14, 2025 to Mar 3, 2026
- RAUM · $318M to $344MNov 14, 2025 to Mar 3, 2026
- Advisory employees · 7 to 8Jul 21, 2025 to Nov 14, 2025
- Employees · 7 to 8Jul 21, 2025 to Nov 14, 2025
- State-registered IARs · 7 to 8Jul 21, 2025 to Nov 14, 2025
- Accounts · 628 to 682Apr 1, 2025 to Jul 21, 2025
- Charity clients · 3 to 5Apr 1, 2025 to Jul 21, 2025
- Corporate clients · 2 to 9Apr 1, 2025 to Jul 21, 2025
- HNW clients · 112 to 115Apr 1, 2025 to Jul 21, 2025
- Individual clients · 116 to 124Apr 1, 2025 to Jul 21, 2025
- Financial planning clients · 11-25 to 11-25Apr 1, 2025 to Jul 21, 2025
- Discretionary RAUM · $270M to $318MApr 1, 2025 to Jul 21, 2025
- HNW RAUM · $220M to $261MApr 1, 2025 to Jul 21, 2025
- Individual RAUM · $44.2M to $49.3MApr 1, 2025 to Jul 21, 2025
- RAUM · $270M to $318MApr 1, 2025 to Jul 21, 2025
- Related adviser · true to falseApr 1, 2025 to Jul 21, 2025
- Accounts · 613 to 628Nov 7, 2024 to Apr 1, 2025
- Corporate clients · 11 to 2Nov 7, 2024 to Apr 1, 2025
- HNW clients · 115 to 112Nov 7, 2024 to Apr 1, 2025
- Individual clients · 96 to 116Nov 7, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 11-25Nov 7, 2024 to Apr 1, 2025
- Discretionary RAUM · $259M to $270MNov 7, 2024 to Apr 1, 2025
- HNW RAUM · $215M to $220MNov 7, 2024 to Apr 1, 2025
- Individual RAUM · $31.2M to $44.2MNov 7, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $245,690 to $0Nov 7, 2024 to Apr 1, 2025
- RAUM · $259M to $270MNov 7, 2024 to Apr 1, 2025
- Other offices · 0 to 1Sep 19, 2024 to Nov 7, 2024
- Advisory employees · 8 to 7Jul 24, 2024 to Sep 19, 2024
- Employees · 8 to 7Jul 24, 2024 to Sep 19, 2024
- Insurance-licensed employees · 3 to 0Jul 24, 2024 to Sep 19, 2024
Signals
4 dated events
- T••• S•••• left A•••••• C•••••• L•• for A•••••• W••••• S••••••••• L•• (registered 2025-08-27)Sep 19, 2024 · Advisor changed firm · fact
- 2 advisors left H••••••• W••••• M••••••••• (Tucson, AZ) for A•••••• C•••••• L•• on the same daySep 4, 2024 · Team lift-out · derived
- A•••••• C•••••• L•• reported RAUM $259.1M, up 139% from $108.3M (2024-07-19 to 2024-07-24)Jul 24, 2024 · RAUM change · derived
- B•• C•••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 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
- 520-600-3064reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-600-3064reportedpublic record, Form ADV, Aug 17, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $49.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026