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
B•••••••• I••••••••• G••••
Legal name B•••••••• I••••••••• G•••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 16, 2021 · 30 filings
SEC status approved since Oct 18, 2021
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
69
registered through the firm on IAPD
RAUM per advisor
$18.2M
derived; firm RAUM over IAPD count
Employees
24
22 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 31, 2022$0 then
HNW client RAUM$460M as of Mar 31, 2026
Mar 31, 2024$203M then
State-registered IARs (5.B.3)24 as of Mar 31, 2026
Mar 31, 20221 then
Employees (5.A)24 as of Mar 31, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 24 to 24
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $18.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $175,672derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 11.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
- Individuals$792M63%
- High-net-worth individuals$460M37%
- Corporations and businesses$365,1280.0%
- Charitable organizations$57,3750.0%
- Individual clients
- 3,290reported
- HNW clients
- 210reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 7,129reported
- Financial planning clients
- 51-100reported
- 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
67 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W•••••• R••••••• | Phoenix, Az | Jan 17, 2023 | 24 y | 4 |
| Z•••••• Y••• J••••Certified Financial Planner, Chartered Financial Consultant | Phoenix, Az | Mar 2, 2023 | 11 y | 1 |
| V•••••• A•••••• Y•••••••Certified Financial Planner | Phoenix, Az | Mar 6, 2023 | 13 y | 0 |
| S••••• L••••• S••••••• | Columbia Station, Oh | Jun 8, 2023 | 37 y | 3 |
| A••• L••••• K•••• | Phoenix, Az | Jun 19, 2023 | 33 y | 1 |
| S••••• L••• C•••• | Phoenix, Az | Jun 21, 2023 | 40 y | 3 |
| N••••••• M• G••••••••• | Middlebury, Ct | Jun 30, 2023 | 13 y | 2 |
| W•••••• H• A•••••••Certified Financial Planner | Phoenix, Az | Jun 30, 2023 | 17 y | 5 |
| D••••• R••••• A••••••• | Warick, Ri | Jul 5, 2023 | 24 y | 2 |
| T•••• L••• C••• | Phoenix, Az | Jul 25, 2023 | 27 y | 1 |
| R•••••• S•••••• R••••• | Phoenix, Az | Sep 27, 2023 | 38 y | 2 |
| C••••••••• R••• C•••••••Chartered Financial Analyst | Phoenixville, Pa | Dec 26, 2023 | 10 y | 4 |
| R•••••• G••• M••••• | Phoenix, Az | Jan 6, 2025 | 24 y | 4 |
| B•••• N••••••••• | Highland, Ny | Apr 4, 2025 | 10 y | 2 |
| M••••• I• W•••••••Chartered Financial Analyst | New York, Ny | Apr 4, 2025 | 30 y | 4 |
| R••••• T••••• E••••Certified Financial Planner | Caldwell, Tx | Apr 5, 2025 | 34 y | 7 |
| J••• C•••••• W••••• | Phoenix, Az | Apr 7, 2025 | 11 y | 2 |
| M••••• A•••• S••••••Certified Financial Planner, Chartered Financial Consultant | Phoenix, Az | Apr 9, 2025 | 41 y | 4 |
| J••••• D•••• B••••• | China Grove, Nc | Apr 9, 2025 | 22 y | 5 |
| J•••• M•••• N••••Certified Financial Planner | Katy, Tx | Apr 11, 2025 | 31 y | 5 |
| C•••••• H•••• T••••• | Middletown, De | Apr 11, 2025 | 28 y | 5 |
| R••• W••••• H••••• | Phoenix, Az | Apr 14, 2025 | 13 y | 1 |
| J••••• F•• B•••• | Forest City, Ia | Apr 14, 2025 | 17 y | 3 |
| J•••• M••••••••• G••••••Chartered Financial Consultant | San Antonio, Tx | Apr 15, 2025 | 34 y | 5 |
| J••••••• L••• H••••••Chartered Financial Consultant | Midlothian, Va | May 2, 2025 | 45 y | 9 |
| C•••• C••••••• B••••••••• | Phoenix, Az | May 2, 2025 | 29 y | 5 |
| C••••• Q• I••••• | Conyers, Ga | May 6, 2025 | 26 y | 4 |
| F•••• C•••••• S•••• | Amherst, Nh | May 7, 2025 | 19 y | 7 |
| C••••••• L••••• W•••• I••••• | Coyers, Ga | May 12, 2025 | 12 y | 4 |
| T••••• E••••• S••••Certified Financial Planner | Gilford, Nh | Jun 1, 2025 | 33 y | 3 |
| B•••• L• M••••••••• | Dresher, Pa | Jun 2, 2025 | 44 y | 2 |
| J••• K•••••• M••••••• | Cornelius, Nc | Jun 15, 2025 | 15 y | 5 |
| P•••• D••••• T••••••• | Bloomington, Mn | Jun 15, 2025 | 15 y | 4 |
| T••••• M•••••• S••••••• | Phoenix, Az | Jun 20, 2025 | 45 y | 4 |
| A••••• J•••• K•••• | Phoenix, Az | Jun 23, 2025 | 13 y | 5 |
| R•••••• M••• M••• | Boca Raton, Fl | Jul 1, 2025 | 17 y | 3 |
| E•••••• H••• | Phoenix, Az | Jul 2, 2025 | 13 y | 0 |
| T•••• G•••• R••••••• | Phoenix, Az | Aug 18, 2025 | 39 y | 1 |
| P••• H•••• L•••••• | Rochester, Nh | Aug 19, 2025 | 17 y | 4 |
| A•• E• S••••Certified Financial Planner | Phoenix, Az | Sep 11, 2025 | 10 y | 4 |
Advisor movement
5 left, 13 joined in 12 months
net +8 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 7.2% of current headcount6 left over 36 months
Left, latest
- P••••• J•••••• L•• to I•••••• W••••• A••••••• L••Jul 27, 2026 · RIA to a state-registered adviser
- S••••• P••••• to B••••••••• W••••• A•••••••• L••Jun 3, 2026 · Other
- B•••• W•••••• B•••••••• to Q•••• I•••Apr 23, 2026 · RIA to a state-registered adviser
- M••••••• M••• K•••• to T•• A••••••••• L••Jan 20, 2026 · RIA to a state-registered adviser
- S••••• R••••• V•••••• to V•••• A•••••••Dec 3, 2025 · RIA to RIA
- T••• J••••• M••• to T• M••• F••••••••Jan 3, 2025 · RIA to a state-registered adviser
Joined, latest
- C••••• J•••••• A•••••••• from C••• W••••• A•••••••Aug 19, 2026 · RIA to RIA
- S•••••• A•••••• C••••••• from C••••••• I••••••••• A••••••• L••Jun 29, 2026 · Other
- O••• C•••• B•••••• from W••••••••• I•••••••••Jun 8, 2026 · RIA to RIA
- S•••••• J••• C••••• from B•••••••• A•••• M••••••••• L••Mar 25, 2026 · RIA to RIA
- A••••••• R•••• from S••••• I••••••••• M••••••••• L••Mar 25, 2026 · RIA to RIA
- T•••• E••••• D••••• from D••••• A••••••• G••••Jan 23, 2026 · Other
- C•••• J••••••• P••••••• from B•••••••• A•••• M••••••••• L••Dec 19, 2025 · RIA to RIA
- C••••• S••••••• K••• from B•••••••• A•••• M••••••••• L••Nov 29, 2025 · RIA to RIA
- N••••••• A••• B••• from R•••••• P•••••• W•••••Nov 22, 2025 · RIA to RIA
- J•••• B••••• H•••• from T•••• C•••••• L••Nov 10, 2025 · Other
- R••••• K•••• A•••• from B•••••••• A•••• M••••••••• L••Oct 22, 2025 · RIA to RIA
- S••••• R••••• V•••••• from E••••• J••••Oct 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••• P•••••• K•••••••• from M•• I•••••••• S•••••••• L••Sep 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•• E• S•••• from B•••••• I••••••••• A•••••••Sep 11, 2025 · RIA to RIA
- T•••• G•••• R••••••• from T•••• W•••••Aug 18, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from B•••••••• A•••• M••••••••• L••Jun 30, 2023 · Rancho Mirage, Ca
- 7 joined from B•••••••• A•••• M••••••••• L••Jun 28, 2023 · Reno, Nv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• K••••••••• A•• · Chief Compliance Officercontrolsince 08/2021 · owns 50% to 75%
- R•••••••• R•••••• W•••••• · Chief Development Officercontrolsince 08/2021 · owns 50% to 75%
Entity owners
- B••••••• C••••••••• L•• · Memberdirect · owns 75% or more
- M••• W••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••••••• I•••••••• G••••real estaten
- R•••••• P•••••• W•••••investment advisernRAUM $268M
Advisers that list B•••••••• I••••••••• G•••• as a related person
- 312942 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 69 | 29 | 3 | ||
| Colorado Springs, Co | 3 | 2 | 0 | ||
| Bloomington, Mn | 2 | 0 | 0 | ||
| Tujunga, Ca | 0 | 0 | 1 | ||
| Spring Hill, Tn | 0 | 0 | 1 | ||
| Springfield, Or | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beverly Hills, CA1 employees
- Newport Beach, CA1 employees
- Tempe, AZ1 employees
- Warick, RI1 employees
- Westminster, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 6,200 to 7,129Jul 16, 2025 to Mar 31, 2026
- Advisory employees · 24 to 22Jul 16, 2025 to Mar 31, 2026
- Corporate clients · 4 to 5Jul 16, 2025 to Mar 31, 2026
- HNW clients · 181 to 210Jul 16, 2025 to Mar 31, 2026
- Individual clients · 2,974 to 3,290Jul 16, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 51-100Jul 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $1.2BJul 16, 2025 to Mar 31, 2026
- HNW RAUM · $391M to $460MJul 16, 2025 to Mar 31, 2026
- Individual RAUM · $673M to $792MJul 16, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $16.1M to $17.4MJul 16, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BJul 16, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 11-25Jun 23, 2025 to Jul 16, 2025
- Accounts · 2,250 to 6,200Jan 6, 2025 to Apr 1, 2025
- Advisory employees · 17 to 24Jan 6, 2025 to Apr 1, 2025
- Corporate clients · 12 to 4Jan 6, 2025 to Apr 1, 2025
- HNW clients · 98 to 181Jan 6, 2025 to Apr 1, 2025
- Individual clients · 1,012 to 2,974Jan 6, 2025 to Apr 1, 2025
- Pension plan clients · 1.0 to unsetJan 6, 2025 to Apr 1, 2025
- Employees · 18 to 24Jan 6, 2025 to Apr 1, 2025
- Insurance-licensed employees · 4 to 0Jan 6, 2025 to Apr 1, 2025
- State-registered IARs · 17 to 24Jan 6, 2025 to Apr 1, 2025
- Discretionary RAUM · $689M to $1.0BJan 6, 2025 to Apr 1, 2025
- HNW RAUM · $203M to $391MJan 6, 2025 to Apr 1, 2025
- Individual RAUM · $228M to $673MJan 6, 2025 to Apr 1, 2025
- Non-discretionary RAUM · $0 to $16.1MJan 6, 2025 to Apr 1, 2025
- Pension RAUM · 1802065.0 to unsetJan 6, 2025 to Apr 1, 2025
- RAUM · $689M to $1.1BJan 6, 2025 to Apr 1, 2025
- Related adviser · true to falseJan 6, 2025 to Apr 1, 2025
- Other offices · 4 to 5Mar 31, 2024 to Jul 23, 2024
- Accounts · 0 to 2,250Mar 15, 2024 to Mar 31, 2024
- Charity clients · unset to 1.0Mar 15, 2024 to Mar 31, 2024
- Corporate clients · unset to 12.0Mar 15, 2024 to Mar 31, 2024
- HNW clients · unset to 98.0Mar 15, 2024 to Mar 31, 2024
- Individual clients · unset to 1012.0Mar 15, 2024 to Mar 31, 2024
- Pension plan clients · unset to 1.0Mar 15, 2024 to Mar 31, 2024
- Financial planning clients · 0 to 11-25Mar 15, 2024 to Mar 31, 2024
- Discretionary RAUM · $0 to $689MMar 15, 2024 to Mar 31, 2024
- HNW RAUM · unset to 203404782.0Mar 15, 2024 to Mar 31, 2024
- Individual RAUM · unset to 227951051.0Mar 15, 2024 to Mar 31, 2024
- Pension RAUM · unset to 1802065.0Mar 15, 2024 to Mar 31, 2024
Signals
11 dated events
- P••••• J•••••• L•• left B•••••••• I••••••••• G•••• for I•••••• W••••• A••••••• L•• (registered 2026-07-23)Jul 27, 2026 · a•••••• firm change · fact
- S••••• P••••• left B•••••••• I••••••••• G•••• for B••••••••• W••••• A•••••••• L•• (registered 2026-04-23)Jun 3, 2026 · a•••••• firm change · fact
- B•••• W•••••• B•••••••• left B•••••••• I••••••••• G•••• for Q•••• I••• (registered 2026-08-18)Apr 23, 2026 · a•••••• firm change · fact
- M••••••• M••• K•••• left B•••••••• I••••••••• G•••• for T•• A••••••••• L•• (registered 2025-07-17)Jan 20, 2026 · a•••••• firm change · fact
- S••••• R••••• V•••••• left B•••••••• I••••••••• G•••• for V•••• A••••••• (registered 2026-01-25)Dec 3, 2025 · a•••••• firm change · fact
- B•••••••• I••••••••• G•••• reported RAUM $1.1B, up 54% from $689.1M (2025-01-06 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- T••• J••••• M••• left B•••••••• I••••••••• G•••• for T• M••• F•••••••• (registered 2024-09-19)Jan 3, 2025 · a•••••• firm change · fact
- B•••••••• I••••••••• G•••• reported 17 state-registered advisory representatives, up from 3 (2023-06-30 to 2023-07-06)Jul 6, 2023 · ria a•••••• headcount change · derived
- 3 advisors left B•••••••• A•••• M••••••••• L•• (Rancho Mirage, CA) for B•••••••• I••••••••• G•••• on the same dayJun 30, 2023 · Team lift-out · derived
- 6 advisors left B•••••••• A•••• M••••••••• L•• (Reno, NV) for B•••••••• I••••••••• G•••• within 2 daysJun 28, 2023 · Team lift-out · derived
- B•••••••• I••••••••• G•••• filed its initial SEC registration (Form ADV)Sep 16, 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 email
- info@brookwoodinvestmentgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-351-4740reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- brookwoodinvestmentgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 4803514740reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- brookwoodinvestmentgroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- brookwoodinvestmentgroup.com/advisorsreportedpublished 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
- $18.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026