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
C•• F•••••••• G•••• L••
Latest filing Sep 11, 2026
First filing on the tape Jun 16, 2023 · 39 filings
SEC status approved since Jul 14, 2023
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$7.2M
derived; firm RAUM over IAPD count
Employees
21
21 advisory (5.B.1)
Offices
17
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$119M as of Jul 24, 2026
Mar 28, 2025$30.3M then
HNW client RAUM$61.5M as of Jul 24, 2026
Mar 27, 2024$0 then
State-registered IARs (5.B.3)20 as of Jul 24, 2026
Mar 27, 202418 then
Employees (5.A)20 as of Jul 24, 2026
Mar 27, 202423 then
Private funds: no history
RAUM +396% over the last fiscal yearIARs 19 to 21offices 1 to 17
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
- RAUM per advisor
- $7.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $149,356derivedRAUM 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
- 1.2derived18 offices incl. principal (1.F.5)
- RAUM growth, one year
- +293%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -68%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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
- Individuals$79.1M53%
- High-net-worth individuals$71.5M47%
- Individual clients
- 346reported
- HNW clients
- 46reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 1,008reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A••••• P•••••Chartered Financial Consultant | Scottsdale, Az | Nov 18, 2020 | 32 y | 2 |
| M••• V•••••• M••••• | Scottsdale, Az | Jan 25, 2021 | 18 y | 2 |
| M•••••• C••••••••• P•••• | Star Tannery, Va | Jan 27, 2021 | 17 y | 3 |
| F•••••• C••••••• G•••••Certified Financial Planner | Scottsdale, Az | Jun 11, 2021 | 33 y | 2 |
| J•••• C•••••• A••••••• I• | Scottsdale, Az | Jul 12, 2021 | 10 y | 0 |
| N••••••• R••• D•• | Scottsdale, Az | Jul 12, 2022 | 11 y | 2 |
| J••••••••• J• F••••• | Phoenix, Az | Feb 3, 2023 | 13 y | 0 |
| M•••• M•••• H••••• | Scottsdale, Az | Mar 6, 2023 | 26 y | 1 |
| C•••• W••••• T••••••• | Scottsdale, Az | Jul 24, 2023 | 39 y | 3 |
| M••••• M••••••• B•••••• | Scottsdale, Az | Sep 13, 2023 | 10 y | 1 |
| K•• O• J••••• | Scottsdale, Az | Jan 25, 2024 | 10 y | 0 |
| K••••••• T•••• W••••• | Scottsdale, Az | Feb 12, 2024 | 13 y | 1 |
| H••••• S••••• | Scottsdale, Az | Mar 5, 2024 | 12 y | 0 |
| E•••• J•• G•••••• | Sheboygan Falls, Wi | Apr 17, 2024 | 11 y | 1 |
| D•••••• S••••••• M••••• | Scottsdale, Az | May 29, 2024 | 41 y | 5 |
| H• M• | Phoenix, Az | Jun 10, 2024 | 12 y | 3 |
| T•••• S••••• W•••• | Scottsdale, Az | Jan 1, 2025 | 23 y | 4 |
| H•••• T•• L•••• | Oakland, Ca | Mar 3, 2026 | 15 y | 1 |
| V•••••••• K•• P••••• | Scottsdale, Az | Mar 5, 2026 | 19 y | 0 |
| M••• A••• F••••••• | Scottsdale, Az | Mar 5, 2026 | 25 y | 1 |
| L•••• R••••••••• | Scottsdale, Az | Apr 10, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- U••••• C••••••••• O•••• to I••••• L••Jun 24, 2024 · Other
- J•••• M•••••• S•••••• to B••••••• P••• F•••••••• I••••••••• A•••••••• I•••Jan 19, 2024 · Other
Joined, latest
- M••• A••• F••••••• from L••••••• F•••••••• A•••••••• L••Mar 5, 2026 · Other
- H•••• T•• L•••• from L••••••• F•••••••• A•••••••• L••Mar 3, 2026 · Other
- T•••• S••••• W•••• from L•••••• A•••• M•••••••••Jan 1, 2025 · RIA to a newly registered adviser
- H• M• from L••••••• F•••••••• A•••••••• L••Jun 10, 2024 · Other
- D•••••• S••••••• M••••• from L••••••• F•••••••• A•••••••• L••May 29, 2024 · Other
- E•••• J•• G•••••• from V•••••• F•••••••• S•••••••• L••Apr 17, 2024 · Other
- K••••••• T•••• W••••• from M••••• M••••• I•••Feb 12, 2024 · RIA to a newly registered adviser
- M••••• M••••••• B•••••• from W••••• A•• W••••• F•••••••• C•••••••Sep 13, 2023 · Other
- C•••• W••••• T••••••• from C•••• T••••••• R••Jul 24, 2023 · Other
- M•••• M•••• H••••• from K••••••• L•• • F••••••••Mar 6, 2023 · Other
- N••••••• R••• D•• from M•• I•••••••• S•••••••• L••Jul 12, 2022 · Other
- F•••••• C••••••• G••••• from M••••••••• R•••••••••Jun 11, 2021 · Other
- M•••••• C••••••••• P•••• from L••••••• F•••••••• A•••••••• L••Jan 27, 2021 · Other
- M••• V•••••• M••••• from L••••••• F•••••••• A•••••••• L••Jan 25, 2021 · Other
- C•••••• A••••• P••••• from L••••••• F•••••••• A•••••••• L••Nov 18, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from L••••••• F•••••••• A•••••••• L••Jan 20, 2021 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• C••••••• A••••• · Managing Member & Chief Compliance Officercontrolsince 04/2020 · 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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 21 | 4 | 0 | ||
| Phoenix, Az | 2 | 0 | 0 | ||
| Tucson, Az | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Frederick, MD2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Apr 10, 2026individual and HNW clients (Item 5.D) moved from 978.0 to 312.0 (-68.0%) between the annual amendments of 2025-03-28 and 2026-04-10; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.5% percentile
- HNW share shiftChange between filings · filing Apr 10, 2026HNW share of RAUM moved from 30.0% to 52.0% between the annual amendments of 2025-03-28 and 2026-04-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 777 to 1,008Jul 24, 2026 to Sep 11, 2026
- Advisory employees · 20 to 21Jul 24, 2026 to Sep 11, 2026
- HNW clients · 30 to 46Jul 24, 2026 to Sep 11, 2026
- Individual clients · 282 to 346Jul 24, 2026 to Sep 11, 2026
- Employees · 20 to 21Jul 24, 2026 to Sep 11, 2026
- Financial planning clients · 1-10 to 1-10Jul 24, 2026 to Sep 11, 2026
- State-registered IARs · 20 to 21Jul 24, 2026 to Sep 11, 2026
- Discretionary RAUM · $119M to $151MJul 24, 2026 to Sep 11, 2026
- HNW RAUM · $61.5M to $71.5MJul 24, 2026 to Sep 11, 2026
- Individual RAUM · $57.8M to $79.1MJul 24, 2026 to Sep 11, 2026
- RAUM · $119M to $151MJul 24, 2026 to Sep 11, 2026
- Succession · false to unsetJul 24, 2026 to Sep 11, 2026
- Advisory employees · 19 to 20Mar 18, 2026 to Apr 10, 2026
- Employees · 19 to 20Mar 18, 2026 to Apr 10, 2026
- State-registered IARs · 19 to 20Mar 18, 2026 to Apr 10, 2026
- Other offices · 16 to 17Mar 18, 2026 to Apr 10, 2026
- Accounts · 186 to 777Dec 18, 2025 to Mar 18, 2026
- Advisory employees · 18 to 19Dec 18, 2025 to Mar 18, 2026
- HNW clients · 39 to 30Dec 18, 2025 to Mar 18, 2026
- Individual clients · 939 to 282Dec 18, 2025 to Mar 18, 2026
- Employees · 18 to 19Dec 18, 2025 to Mar 18, 2026
- Financial planning clients · 11-25 to 1-10Dec 18, 2025 to Mar 18, 2026
- State-registered IARs · 18 to 19Dec 18, 2025 to Mar 18, 2026
- Other offices · 1 to 16Dec 18, 2025 to Mar 18, 2026
- Discretionary RAUM · $30.3M to $119MDec 18, 2025 to Mar 18, 2026
- HNW RAUM · $9.1M to $61.5MDec 18, 2025 to Mar 18, 2026
- Individual RAUM · $21.2M to $57.8MDec 18, 2025 to Mar 18, 2026
- RAUM · $30.3M to $119MDec 18, 2025 to Mar 18, 2026
- Advisory employees · 19 to 18Sep 10, 2025 to Dec 18, 2025
- Employees · 19 to 18Sep 10, 2025 to Dec 18, 2025
- State-registered IARs · 19 to 18Sep 10, 2025 to Dec 18, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2025 to May 2, 2025
- Accounts · unset to 186.0Jul 25, 2024 to Mar 28, 2025
- Advisory employees · 20 to 19Jul 25, 2024 to Mar 28, 2025
- Advisory activities · 4 to 5Jul 25, 2024 to Mar 28, 2025
- BD registered reps · 1 to 0Jul 25, 2024 to Mar 28, 2025
- HNW clients · 0 to 39Jul 25, 2024 to Mar 28, 2025
- Individual clients · 600 to 939Jul 25, 2024 to Mar 28, 2025
- Employees · 25 to 19Jul 25, 2024 to Mar 28, 2025
- State-registered IARs · 20 to 19Jul 25, 2024 to Mar 28, 2025
Signals
4 dated events
- C•• F•••••••• G•••• L•• reported 16 offices beyond its principal office, up from 1 (2025-12-18 to 2026-03-18)Mar 18, 2026 · Office count change · derived
- U••••• C••••••••• O•••• left C•• F•••••••• G•••• L•• for I••••• L•• (registered 2026-01-01)Jun 24, 2024 · Advisor changed firm · fact
- J•••• M•••••• S•••••• left C•• F•••••••• G•••• L•• for B••••••• P••• F•••••••• I••••••••• A•••••••• I••• (registered 2024-01-18)Jan 19, 2024 · Advisor changed firm · fact
- C•• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Jun 16, 2023 · 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
- clientcareteam@cspfgllc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-600-9626reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- cspfgllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-600-9626reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- cspfinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- cspfinancialgroup.com/our-teamreportedpublished 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
- $7.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026