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
S•••••••• I••••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jan 29, 2021 · 12 filings
SEC status approved since Dec 31, 2020
RAUM
$387M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$380M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$96.7M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$387M as of Mar 30, 2026
Mar 8, 2022$257M then
HNW client RAUM$216M as of Mar 30, 2026
Mar 8, 2022$129M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 8, 20223 then
Employees (5.A)5 as of Mar 30, 2026
Mar 8, 20224 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $96.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 287derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $992,659derivedHNW RAUM over HNW clients
- Average account
- $332,977derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$216M56%
- Individuals$163M42%
- Charitable organizations$4.8M1.3%
- Corporations and businesses$2.5M0.6%
- Individual clients
- 931reported
- HNW clients
- 218reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 1,162reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $387M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••• Z••• | Tucson, Az | Mar 4, 2021 | 14 y | 1 |
| A•••••••• F••••••• K••••• | Tucson, Az | Mar 10, 2021 | 17 y | 2 |
| D•••• W•••••• B••••Certified Financial Planner | Tucson, Az | Mar 12, 2024 | 30 y | 0 |
| D•••••• H••••• R•••••• | Tucson, Az | Mar 20, 2024 | 12 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
- J••• R••••• S••••••• to A••••• W••••• A•••••••Jun 10, 2024 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• A••••••••• F••••••• · Shareholdercontrolsince 12/2020 · owns 50% to 75%
- Z•••• R••••••• J••• · President, Ccocontrolsince 12/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 4 | 0 | 0 | ||
| Coeur Dalene, Id | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 30, 2026private clients per advisor of 287.2 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 6.6 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,156 to 1,162Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 3 to 5Mar 28, 2025 to Mar 30, 2026
- Charity clients · 3 to 7Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 4 to 5Mar 28, 2025 to Mar 30, 2026
- HNW clients · 193 to 218Mar 28, 2025 to Mar 30, 2026
- Individual clients · 954 to 931Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 0Mar 28, 2025 to Mar 30, 2026
- Employees · 4 to 5Mar 28, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 11-25Mar 28, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $326M to $387MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $168M to $216MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $152M to $163MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $799,054 to $0Mar 28, 2025 to Mar 30, 2026
- RAUM · $326M to $387MMar 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · $326M to $387MMar 28, 2025 to Mar 30, 2026
- Accounts · 1,182 to 1,156Oct 9, 2024 to Mar 28, 2025
- Charity clients · 4 to 3Oct 9, 2024 to Mar 28, 2025
- Corporate clients · 2 to 4Oct 9, 2024 to Mar 28, 2025
- HNW clients · 150 to 193Oct 9, 2024 to Mar 28, 2025
- Individual clients · 1,023 to 954Oct 9, 2024 to Mar 28, 2025
- Pension plan clients · 3 to 2Oct 9, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Oct 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $268M to $326MOct 9, 2024 to Mar 28, 2025
- HNW RAUM · $122M to $168MOct 9, 2024 to Mar 28, 2025
- Individual RAUM · $141M to $152MOct 9, 2024 to Mar 28, 2025
- Pension RAUM · $1.4M to $799,054Oct 9, 2024 to Mar 28, 2025
- RAUM · $268M to $326MOct 9, 2024 to Mar 28, 2025
- Wrap assets (manager) · $268M to $326MOct 9, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 29, 2024 to Oct 9, 2024
- Accounts · 1,120 to 1,182Aug 10, 2023 to Feb 29, 2024
- Corporate clients · 4 to 2Aug 10, 2023 to Feb 29, 2024
- HNW clients · 237 to 150Aug 10, 2023 to Feb 29, 2024
- Individual clients · 1,504 to 1,023Aug 10, 2023 to Feb 29, 2024
- Financial planning clients · 0 to 1-10Aug 10, 2023 to Feb 29, 2024
- Discretionary RAUM · $224M to $268MAug 10, 2023 to Feb 29, 2024
- HNW RAUM · $108M to $122MAug 10, 2023 to Feb 29, 2024
- Individual RAUM · $125M to $141MAug 10, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $11.5M to $0Aug 10, 2023 to Feb 29, 2024
Signals
3 dated events
- J••• R••••• S••••••• left S•••••••• I••••••••• A•••••••• I••• for A••••• W••••• A••••••• (registered 2024-05-06)Jun 10, 2024 · Advisor changed firm · fact
- S•••••••• I••••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 29, 2021 · Succession (Item 4) · fact
- S•••••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 29, 2021 · 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
- 520-544-2500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/SIATUCSONreportedpublic record, Form ADV, Sep 18, 2026
- Website
- southwestinvestmentadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-544-2500reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- southwestinvestmentadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- southwestinvestmentadvisors.com/who-we-arereportedpublished 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
- $96.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026