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

E••••• A••••••• P••••••• L••

Independent wealth managerGilbert, ArizonaCRD 325650SEC 801-136024IAPD
Latest filing Aug 14, 2026
First filing on the tape Mar 30, 2026 · 2 filings
SEC status approved since May 7, 2026
RAUM
$101M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
80%
$81.3M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$101M as of Aug 14, 2026
Mar 30, 2026$101M then
HNW client RAUM$31.3M as of Aug 14, 2026
Mar 30, 2026$31.3M then
State-registered IARs (5.B.3)3 as of Aug 14, 2026
Mar 30, 20263 then
Employees (5.A)3 as of Aug 14, 2026
Mar 30, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 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
$25.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$144,930derivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
16%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • Individuals$50.0M49%
  • High-net-worth individuals$31.3M31%
  • Pension and profit-sharing plans$16.6M16%
  • Corporations and businesses$3.2M3.1%
Individual clients
236reported
HNW clients
12reported
Pension plan clients
35reported
Charitable clients
n/areported
Accounts
697reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.8 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• R• K•••G••••••, AzMay 2, 202313 y3
J•••• C•••G••••••, AzMar 12, 202411 y3
A••••• E• R••••••••G••••••, AzMar 24, 202619 y5
G•••••• A••••• G•••••••Certified Financial PlannerGilbert, AzAug 6, 202612 y4
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••• J•••••• R• · Managing Member And Chief Compliance Officercontrol
    since 01/2023 · 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
OfficeAdvisorsJoinedLeftTeams outForming
G••••••, Az · principal421
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • I••• A•••••••• M•••••••• left E••••• A••••••• P••••••• L•• for T•• A•••••••• G•••• (registered 2026-01-23)
    Jan 16, 2026 · Advisor changed firm · 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
Principal office phone
480-626-5855reportedpublic record, Form ADV, Aug 14, 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
$25.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026