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
W•••••••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 19, 2021 · 10 filings
SEC status approved since Dec 20, 2021
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$82.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$165M as of Mar 24, 2026
Mar 28, 2022$103M then
HNW client RAUM$132M as of Mar 24, 2026
Mar 28, 2022$80.5M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 28, 20221 then
Employees (5.A)2 as of Mar 24, 2026
Mar 28, 20223 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- $82.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $185,060derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- High-net-worth individuals$132M80%
- Individuals$25.5M15%
- Pension and profit-sharing plans$6.9M4.2%
- Charitable organizations$729,2400.4%
- Individual clients
- 151reported
- HNW clients
- 52reported
- Pension plan clients
- 7reported
- Charitable clients
- 6reported
- Accounts
- 890reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••••• G•••• W•••••••• | Tucson, Az | Dec 20, 2021 | 38 y | 2 |
| D••••• N••••••• | Tucson, Az | Feb 28, 2024 | 10 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
- E••••••• G•••• W•••••••• from I••• W•••••••• I••••••••• M••••••••• L••Dec 20, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• E•••••••• G•••• · Principal & Chief Compliance Officercontrolsince 12/2021 · 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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 2 | 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
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-18, no on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 830 to 890Mar 18, 2025 to Mar 24, 2026
- Charity clients · 4 to 6Mar 18, 2025 to Mar 24, 2026
- HNW clients · 41 to 52Mar 18, 2025 to Mar 24, 2026
- Individual clients · 176 to 151Mar 18, 2025 to Mar 24, 2026
- Pension plan clients · 6 to 7Mar 18, 2025 to Mar 24, 2026
- Assets in custody · 13597488.0 to unsetMar 18, 2025 to Mar 24, 2026
- Custody of client assets · true to falseMar 18, 2025 to Mar 24, 2026
- Discretionary RAUM · $143M to $165MMar 18, 2025 to Mar 24, 2026
- HNW RAUM · $99.8M to $132MMar 18, 2025 to Mar 24, 2026
- Individual RAUM · $37.0M to $25.5MMar 18, 2025 to Mar 24, 2026
- Pension RAUM · $5.8M to $6.9MMar 18, 2025 to Mar 24, 2026
- RAUM · $143M to $165MMar 18, 2025 to Mar 24, 2026
- Accounts · 775 to 830Mar 26, 2024 to Mar 18, 2025
- Advisory employees · 1 to 2Mar 26, 2024 to Mar 18, 2025
- Charity clients · 2 to 4Mar 26, 2024 to Mar 18, 2025
- HNW clients · 54 to 41Mar 26, 2024 to Mar 18, 2025
- Individual clients · 155 to 176Mar 26, 2024 to Mar 18, 2025
- Pension plan clients · 1 to 6Mar 26, 2024 to Mar 18, 2025
- Assets in custody · $16.8M to $13.6MMar 26, 2024 to Mar 18, 2025
- Employees · 1 to 2Mar 26, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 18, 2025
- State-registered IARs · 1 to 2Mar 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $128M to $143MMar 26, 2024 to Mar 18, 2025
- HNW RAUM · $97.9M to $99.8MMar 26, 2024 to Mar 18, 2025
- Individual RAUM · $28.1M to $37.0MMar 26, 2024 to Mar 18, 2025
- Pension RAUM · $685,372 to $5.8MMar 26, 2024 to Mar 18, 2025
- RAUM · $128M to $143MMar 26, 2024 to Mar 18, 2025
- Accounts · 702 to 775Mar 17, 2023 to Mar 26, 2024
- Charity clients · 1 to 2Mar 17, 2023 to Mar 26, 2024
- HNW clients · 43 to 54Mar 17, 2023 to Mar 26, 2024
- Individual clients · 137 to 155Mar 17, 2023 to Mar 26, 2024
- Pension plan clients · 4 to 1Mar 17, 2023 to Mar 26, 2024
- Assets in custody · $10.1M to $16.8MMar 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $101M to $128MMar 17, 2023 to Mar 26, 2024
- HNW RAUM · $76.2M to $97.9MMar 17, 2023 to Mar 26, 2024
- Individual RAUM · $20.6M to $28.1MMar 17, 2023 to Mar 26, 2024
- Pension RAUM · $2.7M to $685,372Mar 17, 2023 to Mar 26, 2024
- RAUM · $101M to $128MMar 17, 2023 to Mar 26, 2024
- Accounts · 616 to 702Oct 3, 2022 to Mar 8, 2023
- HNW clients · 58 to 43Oct 3, 2022 to Mar 8, 2023
Signals
1 dated events
- W•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 19, 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
- 520-848-4899reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 520-777-1911reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 833-224-2410reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 520-777-1911reportedpublic record, Form ADV, Mar 24, 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
- $82.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026