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.
SEC-registered adviser
Able Financial Group, LLC
Latest filing Mar 19, 2026
First filing on the tape Dec 9, 2022 · 11 filings
SEC status approved since Jan 9, 2023
RAUM
$733M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$707M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$81.4M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$733M as of Mar 19, 2026
Mar 23, 2024$467M then
HNW client RAUM$602M as of Mar 19, 2026
Mar 23, 2024$347M then
State-registered IARs (5.B.3)9 as of Mar 19, 2026
Mar 23, 20247 then
Employees (5.A)14 as of Mar 19, 2026
Mar 23, 202412 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 8 to 9
Practice profile
derived from the filing of Mar 19, 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
- $81.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $432,669derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $267M, 487 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
- 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)
- 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$602M82%
- Individuals$105M14%
- Charitable organizations$12.4M1.7%
- Corporations and businesses$11.5M1.6%
- Pension and profit-sharing plans$2.1M0.3%
- Individual clients
- 329reported
- HNW clients
- 284reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,694reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $267M for 487 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Adam Michael BrooksCertified Financial Planner | Scottsdale, Az | Jan 9, 2023 | 28 y | 2 |
| Laurel Paige Kutler | Scottsdale, Az | Jan 12, 2023 | 12 y | 2 |
| Brandon David PerlowCertified Financial Planner | Scottsdale, Az | Jan 12, 2023 | 10 y | 3 |
| Matthew Paul CherryCertified Financial Planner | Scottsdale, Az | Jan 12, 2023 | 11 y | 3 |
| Lawrence Van QuathemCertified Financial Planner | Scottsdale, Az | Jan 12, 2023 | 31 y | 2 |
| Peter EickelbergCertified Financial Planner, Chartered Financial Analyst | Scottsdale, Az | Jan 12, 2023 | 20 y | 5 |
| Lane Laron Reynolds | Scottsdale, Az | Jan 12, 2023 | 40 y | 1 |
| Deborah Dutton Baldini | Scottsdale, Az | Apr 29, 2024 | 44 y | 3 |
| Jacob Alexander Cavaleri | Scottsdale, Az | Jul 25, 2025 | 12 y | 5 |
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
- Jacob Alexander Cavaleri from Northcoast Asset Management LLCJul 25, 2025 · RIA to RIA
- Deborah Dutton Baldini from Raymond James Financial Services Advisors, IncApr 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- Lane Laron Reynolds from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Lawrence Van Quathem from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Matthew Paul Cherry from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Laurel Paige Kutler from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Peter Eickelberg from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Brandon David Perlow from Wells Fargo AdvisorsJan 12, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Adam Michael Brooks from Wells Fargo AdvisorsJan 9, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from Wells Fargo AdvisorsFeb 7, 2023 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Adam Brooks · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Michael Adam Brooks · Co-Trusteecontrolsince 03/2001 · owns F of The Brooks Family Trust Dtd 03/20/2022
- Schepps Cynthia Brooks · Co-Trusteecontrolsince 03/2001 · owns F of The Brooks Family Trust Dtd 03/20/2022
Entity owners
- The Brooks Family Trust Dtd 03/20/2022 · Memberdirect · 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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 19, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-12-11, no on the filing of 2026-03-19peers: independent wealth managers, $500M to $1B (1,483)
- business activity changedChange between filings · filing Mar 19, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-12-11, no on the filing of 2026-03-19peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 1,484 to 1,694Dec 11, 2025 to Mar 19, 2026
- Advisory employees · 8 to 9Dec 11, 2025 to Mar 19, 2026
- Advisory activities · 5 to 3Dec 11, 2025 to Mar 19, 2026
- BD registered reps · 10 to 11Dec 11, 2025 to Mar 19, 2026
- Corporate clients · 6 to 5Dec 11, 2025 to Mar 19, 2026
- HNW clients · 259 to 284Dec 11, 2025 to Mar 19, 2026
- Individual clients · 280 to 329Dec 11, 2025 to Mar 19, 2026
- Assets in custody · $124M to $267MDec 11, 2025 to Mar 19, 2026
- Employees · 13 to 14Dec 11, 2025 to Mar 19, 2026
- Financial planning clients · More than 500 to 1-10Dec 11, 2025 to Mar 19, 2026
- State-registered IARs · 8 to 9Dec 11, 2025 to Mar 19, 2026
- Discretionary RAUM · $566M to $726MDec 11, 2025 to Mar 19, 2026
- HNW RAUM · $464M to $602MDec 11, 2025 to Mar 19, 2026
- Individual RAUM · $86.1M to $105MDec 11, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $5.1M to $7.2MDec 11, 2025 to Mar 19, 2026
- Pension RAUM · $1.8M to $2.1MDec 11, 2025 to Mar 19, 2026
- RAUM · $571M to $733MDec 11, 2025 to Mar 19, 2026
- Accounts · 1,357 to 1,484Aug 14, 2024 to Mar 27, 2025
- Advisory employees · 7 to 8Aug 14, 2024 to Mar 27, 2025
- BD registered reps · 9 to 10Aug 14, 2024 to Mar 27, 2025
- Charity clients · 7 to 6Aug 14, 2024 to Mar 27, 2025
- HNW clients · 185 to 259Aug 14, 2024 to Mar 27, 2025
- Individual clients · 302 to 280Aug 14, 2024 to Mar 27, 2025
- Assets in custody · $6.6M to $124MAug 14, 2024 to Mar 27, 2025
- Employees · 12 to 13Aug 14, 2024 to Mar 27, 2025
- Financial planning clients · 0 to More than 500Aug 14, 2024 to Mar 27, 2025
- State-registered IARs · 7 to 8Aug 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $458M to $566MAug 14, 2024 to Mar 27, 2025
- HNW RAUM · $347M to $464MAug 14, 2024 to Mar 27, 2025
- Individual RAUM · $106M to $86.1MAug 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $9.5M to $5.1MAug 14, 2024 to Mar 27, 2025
- Pension RAUM · $1.7M to $1.8MAug 14, 2024 to Mar 27, 2025
- RAUM · $467M to $571MAug 14, 2024 to Mar 27, 2025
- Accounts · 1,106 to 1,357Nov 15, 2023 to Mar 23, 2024
- Charity clients · 2 to 7Nov 15, 2023 to Mar 23, 2024
- Corporate clients · 3 to 6Nov 15, 2023 to Mar 23, 2024
- HNW clients · 152 to 185Nov 15, 2023 to Mar 23, 2024
- Individual clients · 263 to 302Nov 15, 2023 to Mar 23, 2024
- Pension plan clients · 2.0 to unsetNov 15, 2023 to Mar 23, 2024
- Assets in custody · $87.9M to $6.6MNov 15, 2023 to Mar 23, 2024
Signals
4 dated events
- Able Financial Group, Llc reported RAUM $732.9M, up 28% from $571.0M (2025-12-11 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Able Financial Group, Llc reported RAUM $467.4M, up 30% from $360.4M (2023-11-15 to 2024-03-23)Mar 23, 2024 · RAUM change · derived
- 6 advisors left Wells Fargo Advisors (Scottsdale, AZ) for Able Financial Group, LLC on the same dayFeb 7, 2023 · Team lift-out · derived
- Able Financial Group, Llc filed its initial SEC registration (Form ADV)Dec 9, 2022 · 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
- yovanna@ablefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-258-6104reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/81954901reportedpublic record, Form ADV, Sep 17, 2026
- Website
- ABLEFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-258-6104reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- ablefinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ablefinancialgroup.com/our-teamreportedpublished 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
- $81.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026