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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• W••••• M••••••••• I••
Latest filing Feb 6, 2026
First filing on the tape Oct 28, 2020 · 16 filings
SEC status approved since Dec 1, 2020
RAUM
$376M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
99%
$373M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$376M as of Feb 6, 2026
Mar 10, 2021$203M then
HNW client RAUM$284M as of Feb 6, 2026
Mar 10, 2021$170M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Mar 10, 20213 then
Employees (5.A)4 as of Feb 6, 2026
Mar 10, 20214 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $347,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- +11%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$284M75%
- Individuals$89.2M24%
- Corporations and businesses$3.0M0.8%
- Individual clients
- 274reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,083reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• W•••••••Certified Financial Planner | Chandler, Az | Dec 10, 2020 | 12 y | 2 |
| K•••• C•••• M••••Certified Financial Planner | Chandler, Az | Dec 10, 2020 | 34 y | 1 |
| C•••••••• M•••• | Chandler, Az | Mar 25, 2021 | 10 y | 3 |
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
- C•••••••• M•••• from U••• I••••••••• S••••••• C••••••Mar 25, 2021 · Other
- K•••• C•••• M•••• from C•••••• A•••••••Dec 10, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• W••••••• from C•••••• A•••••••Dec 10, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• A•••••••Dec 1, 2020 · Chandler, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• K••••• C•••• · President, Managing Principal, Chief Compliance Officercontrolsince 10/2020 · 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 |
|---|---|---|---|---|---|
| Chandler, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 946 to 1,083Jan 5, 2026 to Feb 6, 2026
- HNW clients · 94 to 111Jan 5, 2026 to Feb 6, 2026
- Individual clients · 254 to 274Jan 5, 2026 to Feb 6, 2026
- Financial planning clients · 26-50 to 101-250Jan 5, 2026 to Feb 6, 2026
- Discretionary RAUM · $276M to $339MJan 5, 2026 to Feb 6, 2026
- HNW RAUM · $215M to $284MJan 5, 2026 to Feb 6, 2026
- Individual RAUM · $92.5M to $89.2MJan 5, 2026 to Feb 6, 2026
- Non-discretionary RAUM · $31.8M to $37.2MJan 5, 2026 to Feb 6, 2026
- RAUM · $307M to $376MJan 5, 2026 to Feb 6, 2026
- Accounts · 848 to 946Jan 30, 2024 to Jan 24, 2025
- HNW clients · 91 to 94Jan 30, 2024 to Jan 24, 2025
- Individual clients · 222 to 254Jan 30, 2024 to Jan 24, 2025
- Financial planning clients · 51-100 to 26-50Jan 30, 2024 to Jan 24, 2025
- Discretionary RAUM · $208M to $276MJan 30, 2024 to Jan 24, 2025
- HNW RAUM · $183M to $215MJan 30, 2024 to Jan 24, 2025
- Individual RAUM · $60.0M to $92.5MJan 30, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $35.5M to $31.8MJan 30, 2024 to Jan 24, 2025
- RAUM · $243M to $307MJan 30, 2024 to Jan 24, 2025
- Accounts · 843 to 848Apr 3, 2023 to Jan 18, 2024
- HNW clients · 90 to 91Apr 3, 2023 to Jan 18, 2024
- Individual clients · 250 to 222Apr 3, 2023 to Jan 18, 2024
- Discretionary RAUM · $173M to $208MApr 3, 2023 to Jan 18, 2024
- HNW RAUM · $155M to $183MApr 3, 2023 to Jan 18, 2024
- Individual RAUM · $38.3M to $60.0MApr 3, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $20.9M to $35.5MApr 3, 2023 to Jan 18, 2024
- RAUM · $194M to $243MApr 3, 2023 to Jan 18, 2024
- Accounts · 1,009 to 843Dec 15, 2022 to Jan 25, 2023
- HNW clients · 86 to 90Dec 15, 2022 to Jan 25, 2023
- Individual clients · 326 to 250Dec 15, 2022 to Jan 25, 2023
- Discretionary RAUM · $218M to $173MDec 15, 2022 to Jan 25, 2023
- HNW RAUM · $201M to $155MDec 15, 2022 to Jan 25, 2023
- Individual RAUM · $59.8M to $38.3MDec 15, 2022 to Jan 25, 2023
- Non-discretionary RAUM · $42.8M to $20.9MDec 15, 2022 to Jan 25, 2023
- RAUM · $261M to $194MDec 15, 2022 to Jan 25, 2023
- Accounts · 669 to 1,009Mar 10, 2021 to Mar 10, 2022
- HNW clients · 80 to 86Mar 10, 2021 to Mar 10, 2022
- Individual clients · 171 to 326Mar 10, 2021 to Mar 10, 2022
- Financial planning clients · 1-10 to 51-100Mar 10, 2021 to Mar 10, 2022
- Discretionary RAUM · $174M to $218MMar 10, 2021 to Mar 10, 2022
- HNW RAUM · $170M to $201MMar 10, 2021 to Mar 10, 2022
Signals
2 dated events
- B•••• W••••••• (Chief Compliance Officer) no longer on Schedule A of S••••••••• W••••• M••••••••• I•• (listed 2020-12-01, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- S••••••••• W••••• M••••••••• I•• filed its initial SEC registration (Form ADV)Oct 28, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 602-258-9300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 602-258-9400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-852-2860reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/stonecrest-wealth-management-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- stonecrestwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (602) 258-9400reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- stonecrestwealth.com/contact-us.htmreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- stonecrestwealth.com/team.htmreportedpublished 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026