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••• W••••• A••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Sep 22, 2021 · 19 filings
SEC status approved since May 23, 2025
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$86.7M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$122M as of Jun 8, 2026
Apr 24, 2025$103M then
HNW client RAUM$39.5M as of Jun 8, 2026
Apr 24, 2025$30.3M then
State-registered IARs (5.B.3)3 as of Jun 8, 2026
Apr 24, 20253 then
Employees (5.A)3 as of Jun 8, 2026
Apr 24, 20253 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
- RAUM per advisor
- $30.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $337,435derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, 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$47.2M39%
- High-net-worth individuals$39.5M32%
- Charitable organizations$33.7M28%
- Pension and profit-sharing plans$1.7M1.4%
- Individual clients
- 207reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 362reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• T••••• B•••••Certified Financial Planner | Anthem, Az | Nov 4, 2021 | 24 y | 1 |
| L•••••• A•••• W••••••••• | Anthem, Az | Nov 8, 2021 | 11 y | 2 |
| J•••• D•••••• S••••••• | Anthem, Az | Nov 22, 2021 | 13 y | 1 |
| G••• G••• B••••• | Birmingham, Al | Jun 4, 2026 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• D•••••• S••••••• from A• W••••• M••••••••• L••Nov 22, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••• A•••• W••••••••• from E•••••• E••••• L••Nov 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• T••••• B••••• from A• W••••• M••••••••• L••Nov 4, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• T••••• · Managing Membercontrolsince 08/2021 · owns 25% to 50%
- S•••••••• J••••• D•••••• · Managing Member/Ccocontrolsince 08/2021 · owns 25% to 50%
- W••••••••• L••••••• A•••• · Managing Membercontrolsince 08/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Anthem, Az | 4 | 1 | 0 | ||
| Birmingham, Al | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Birmingham, AL1 employees
What changed
consecutive filings, newest first
- Accounts · 356 to 362Oct 24, 2025 to Mar 30, 2026
- Charity clients · 2.0 to unsetOct 24, 2025 to Mar 30, 2026
- HNW clients · 15 to 16Oct 24, 2025 to Mar 30, 2026
- Individual clients · 252 to 207Oct 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $103M to $122MOct 24, 2025 to Mar 30, 2026
- HNW RAUM · $30.3M to $39.5MOct 24, 2025 to Mar 30, 2026
- Individual RAUM · $42.8M to $47.2MOct 24, 2025 to Mar 30, 2026
- Pension RAUM · unset to 1720850.0Oct 24, 2025 to Mar 30, 2026
- RAUM · $103M to $122MOct 24, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Aug 26, 2025 to Oct 24, 2025
- Related broker-dealer · false to trueAug 26, 2025 to Oct 24, 2025
- Advisory activities · 4 to 3Apr 24, 2025 to Aug 26, 2025
- Accounts · 253 to 356Nov 22, 2022 to Apr 24, 2025
- Charity clients · unset to 2.0Nov 22, 2022 to Apr 24, 2025
- Individual clients · 98 to 252Nov 22, 2022 to Apr 24, 2025
- HQ city · unset to Nov 22, 2022 to Apr 24, 2025
- HQ state · unset to Nov 22, 2022 to Apr 24, 2025
- Discretionary RAUM · $68.4M to $103MNov 22, 2022 to Apr 24, 2025
- HNW RAUM · $24.5M to $30.3MNov 22, 2022 to Apr 24, 2025
- Individual RAUM · $19.2M to $42.8MNov 22, 2022 to Apr 24, 2025
- RAUM · $68.4M to $103MNov 22, 2022 to Apr 24, 2025
- Accounts · 224 to 253Oct 11, 2022 to Nov 11, 2022
- HNW clients · 8 to 15Oct 11, 2022 to Nov 11, 2022
- Individual clients · 175 to 98Oct 11, 2022 to Nov 11, 2022
- HQ city · NEW RIVER to unsetOct 11, 2022 to Nov 11, 2022
- HQ state · AZ to unsetOct 11, 2022 to Nov 11, 2022
- Other offices · 0 to 1Oct 11, 2022 to Nov 11, 2022
- Discretionary RAUM · $72.5M to $68.4MOct 11, 2022 to Nov 11, 2022
- HNW RAUM · $19.8M to $24.5MOct 11, 2022 to Nov 11, 2022
- Individual RAUM · $23.9M to $19.2MOct 11, 2022 to Nov 11, 2022
- Pension RAUM · 27740000.0 to unsetOct 11, 2022 to Nov 11, 2022
- RAUM · $72.5M to $68.4MOct 11, 2022 to Nov 11, 2022
- BD registered reps · 3 to 1May 18, 2022 to Jun 10, 2022
- Employees · 239,303 to 3May 18, 2022 to Jun 10, 2022
- Related insurance company · false to trueMay 18, 2022 to Jun 10, 2022
- Accounts · 0 to 224Nov 23, 2021 to May 18, 2022
- HNW clients · unset to 8.0Nov 23, 2021 to May 18, 2022
- Individual clients · unset to 175.0Nov 23, 2021 to May 18, 2022
- Employees · 3 to 239,303Nov 23, 2021 to May 18, 2022
- Discretionary RAUM · $0 to $72.5MNov 23, 2021 to May 18, 2022
Signals
1 dated events
- A••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 22, 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@apexwealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 623-292-5560reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/apex-wealth-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 623-292-5560reportedpublic record, Form ADV, Jun 8, 2026
- Team page
- APEXWEALTHADVISORS.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
- $30.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026