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
F•••••••• P••••••• F••••• L••
Latest filing Mar 9, 2026
First filing on the tape Apr 22, 2022 · 20 filings
SEC status approved since Nov 19, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$107M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$28.5M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$114M as of Mar 9, 2026
Feb 13, 2023$69.1M then
HNW client RAUM$57.5M as of Mar 9, 2026
Feb 13, 2023$28.6M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Feb 13, 20232 then
Employees (5.A)3 as of Mar 9, 2026
Feb 13, 20233 then
Private funds: no history
RAUM n/a over the last fiscal year+18% a year over three
Practice profile
derived from the filing of Mar 9, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $28.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $140,396derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- Wrap fee program
- $185MreportedItem 5.I
- Custody
- $9.9M, 71 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$57.5M51%
- Individuals$49.4M43%
- Pension and profit-sharing plans$6.4M5.6%
- Charitable organizations$561,3110.5%
- Individual clients
- 260reported
- HNW clients
- 31reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 811reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $71.1M sponsored, $42.3M managedreported
- Custody of client assets
- $9.9M for 71 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P••• S•••••••Certified Financial Planner | Tuscon, Az | Jun 13, 2022 | 33 y | 4 |
| G••• K•••• I••• | Tuscon, Az | Jun 29, 2022 | 41 y | 2 |
| J••• C• P•••••• | Tucson, Az | Jan 5, 2023 | 13 y | 1 |
| S••• M•••••• M••••••• | Tuscon, Az | Jul 21, 2026 | 17 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••• C• P•••••• from I••• W•••••••• I••••••••• M••••••••• L••Jan 5, 2023 · RIA to RIA
- G••• K•••• I••• from I••• W•••••••• I••••••••• M••••••••• L••Jun 29, 2022 · RIA to a newly registered adviser
- M•••••• P••• S••••••• from I••• W•••••••• I••••••••• M••••••••• L••Jun 13, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I••• W•••••••• I••••••••• M••••••••• L••Dec 31, 2022 · Tucson, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M••••••• P••• · Chief Compliance Officercontrolsince 04/2022 · 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 |
|---|---|---|---|---|---|
| Tuscon, Az · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 815 to 811Oct 14, 2025 to Mar 9, 2026
- HNW clients · 29 to 31Oct 14, 2025 to Mar 9, 2026
- Individual clients · 258 to 260Oct 14, 2025 to Mar 9, 2026
- Pension plan clients · unset to 5.0Oct 14, 2025 to Mar 9, 2026
- Assets in custody · $13.5M to $9.9MOct 14, 2025 to Mar 9, 2026
- Employees · 4 to 3Oct 14, 2025 to Mar 9, 2026
- Discretionary RAUM · $109M to $113MOct 14, 2025 to Mar 9, 2026
- HNW RAUM · $53.8M to $57.5MOct 14, 2025 to Mar 9, 2026
- Individual RAUM · $50.1M to $49.4MOct 14, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $349,770 to $428,958Oct 14, 2025 to Mar 9, 2026
- Pension RAUM · $5.1M to $6.4MOct 14, 2025 to Mar 9, 2026
- RAUM · $109M to $114MOct 14, 2025 to Mar 9, 2026
- Wrap assets (manager) · $50.2M to $42.3MOct 14, 2025 to Mar 9, 2026
- Wrap assets (sponsor) · $53.8M to $71.1MOct 14, 2025 to Mar 9, 2026
- Accounts · 752 to 815May 16, 2023 to Oct 14, 2025
- Advisory employees · 2 to 1May 16, 2023 to Oct 14, 2025
- Advisory activities · 4 to 5May 16, 2023 to Oct 14, 2025
- Charity clients · 0.0 to unsetMay 16, 2023 to Oct 14, 2025
- HNW clients · 20 to 29May 16, 2023 to Oct 14, 2025
- Individual clients · 279 to 258May 16, 2023 to Oct 14, 2025
- Pension plan clients · 4.0 to unsetMay 16, 2023 to Oct 14, 2025
- Assets in custody · $21.2M to $13.5MMay 16, 2023 to Oct 14, 2025
- Employees · 3 to 4May 16, 2023 to Oct 14, 2025
- Financial planning clients · 0 to 1-10May 16, 2023 to Oct 14, 2025
- State-registered IARs · 2 to 3May 16, 2023 to Oct 14, 2025
- Discretionary RAUM · $68.7M to $109MMay 16, 2023 to Oct 14, 2025
- HNW RAUM · $28.6M to $53.8MMay 16, 2023 to Oct 14, 2025
- Individual RAUM · $37.7M to $50.1MMay 16, 2023 to Oct 14, 2025
- Non-discretionary RAUM · $428,191 to $349,770May 16, 2023 to Oct 14, 2025
- Pension RAUM · $2.8M to $5.1MMay 16, 2023 to Oct 14, 2025
- RAUM · $69.1M to $109MMay 16, 2023 to Oct 14, 2025
- Wrap assets (manager) · $0 to $50.2MMay 16, 2023 to Oct 14, 2025
- Wrap assets (sponsor) · $0 to $53.8MMay 16, 2023 to Oct 14, 2025
- Wrap assets (manager) · $7.0M to $0Feb 22, 2023 to Mar 31, 2023
- Wrap assets (sponsor) · $58.5M to $0Feb 22, 2023 to Mar 31, 2023
- Succession · true to falseFeb 13, 2023 to Feb 22, 2023
- Accounts · 774 to 752Dec 13, 2022 to Feb 13, 2023
- Corporate clients · 5 to 0Dec 13, 2022 to Feb 13, 2023
- HNW clients · 14 to 20Dec 13, 2022 to Feb 13, 2023
- Individual clients · 288 to 279Dec 13, 2022 to Feb 13, 2023
Signals
3 dated events
- F•••••••• P••••••• F••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 13, 2023 · Succession (Item 4) · fact
- I••• W•••••••• I••••••••• M••••••••• L••'s advisors moved to F•••••••• P••••••• F••••• L•• (Tucson, AZ): 3 of 3 registered, on the same dayDec 31, 2022 · Firm absorbed (people side) · derived
- F•••••••• P••••••• F••••• L•• filed its initial SEC registration (Form ADV)Apr 22, 2022 · ria f•••• adv filing · 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
- 520-314-1301reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- financialplanningfirst.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-314-1301reportedpublic record, Form ADV, Mar 9, 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
- $28.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026