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
Amplify Financial, LLC
Latest filing Jul 8, 2026
First filing on the tape Sep 21, 2023 · 11 filings
SEC status approved since Oct 20, 2023
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$226M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.7M
derived; firm RAUM over IAPD count
Employees
7
2 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$231M as of Jul 8, 2026
Apr 1, 2025$269M then
HNW client RAUM$149M as of Jul 8, 2026
Apr 1, 2025$229M then
State-registered IARs (5.B.3)2 as of Jul 8, 2026
Mar 31, 20241 then
Employees (5.A)7 as of Jul 8, 2026
Mar 31, 20241 then
Private funds: no history
RAUM -14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 8, 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
- RAUM per advisor
- $57.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 400derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $255,066derivedHNW RAUM over HNW clients
- Average account
- $154,428derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +197%derived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M65%
- Individuals$77.4M34%
- Corporations and businesses$2.8M1.2%
- Pension and profit-sharing plans$899,7470.4%
- Charitable organizations$669,6930.3%
- Individual clients
- 1,017reported
- HNW clients
- 584reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,494reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Payton BayukCertified Financial Planner | Scottsdale, Az | Jan 12, 2026 | 11 y | 2 |
| David T. Hatfield | Scottsdale, Az | Feb 19, 2026 | 13 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- David T. Hatfield from Ashton Thomas Private WealthFeb 19, 2026 · RIA to RIA
- William Payton Bayuk from Charles Schwab & Co., Inc.Jan 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Claudiu A. Barbos from Ashton Thomas Private WealthAug 14, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul Aaron Brodt · Chief Executive Officercontrolsince 05/2023 · owns less than 5%
- Jolen Peggy Garcia · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- T. David Hatfield · Chief Technology Officercontrolsince 05/2023 · owns less than 5%
- Maria Heidi Brodt · Business Managersince 05/2023 · owns less than 5%
Entity owners
- Amplify Ventures Group, LLC · Memberdirect · owns 75% or more
- Hana Holdings, LLC · Memberindirect · owns 50% to 75% of Amplify Ventures Group, LLC
- Wealthvision, LLC · Memberindirect · owns 50% to 75% of Amplify Ventures Group, LLC
Related persons
Schedule D 7.A
- Ashton Thomas Insurance Agency, LLCreal estaten
- Ashton Thomas Private Wealthinvestment advisernRAUM $6.0B
Advisers that list Amplify Financial, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jul 8, 2026private clients per advisor of 400.2 against a peer median of 57.3 (3075 comparable advisers, 100.0th percentile, 9.8 robust deviations)peers: independent wealth managers, $100M to $500M (3,075) · 100% percentile
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 539.0 to 1,601.0 (+197.0%) between the annual amendments of 2025-04-01 and 2026-03-30; the peer median change was +3.0% (3310 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 100% percentile
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 15.0 to 7.0 (-53.0%) between the annual amendments of 2025-04-01 and 2026-03-30; the peer median change was 0.0% (507 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 2.0% percentile
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 85.0% to 65.0% between the annual amendments of 2025-04-01 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,066 to 1,494Apr 1, 2025 to Mar 30, 2026
- Advisory employees · 3 to 2Apr 1, 2025 to Mar 30, 2026
- BD registered reps · 2 to 1Apr 1, 2025 to Mar 30, 2026
- Charity clients · 1.0 to unsetApr 1, 2025 to Mar 30, 2026
- Corporate clients · 8.0 to unsetApr 1, 2025 to Mar 30, 2026
- HNW clients · 220 to 584Apr 1, 2025 to Mar 30, 2026
- Individual clients · 319 to 1,017Apr 1, 2025 to Mar 30, 2026
- Pension plan clients · 2.0 to unsetApr 1, 2025 to Mar 30, 2026
- Employees · 15 to 7Apr 1, 2025 to Mar 30, 2026
- Financial planning clients · to 0Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $269M to $231MApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $229M to $149MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $28.8M to $77.4MApr 1, 2025 to Mar 30, 2026
- Pension RAUM · $659,606 to $899,747Apr 1, 2025 to Mar 30, 2026
- RAUM · $269M to $231MApr 1, 2025 to Mar 30, 2026
- Accounts · unset to 1066.0Oct 3, 2024 to Apr 1, 2025
- Advisory employees · 1 to 3Oct 3, 2024 to Apr 1, 2025
- BD registered reps · 1 to 2Oct 3, 2024 to Apr 1, 2025
- Charity clients · unset to 1.0Oct 3, 2024 to Apr 1, 2025
- Corporate clients · unset to 8.0Oct 3, 2024 to Apr 1, 2025
- HNW clients · unset to 220.0Oct 3, 2024 to Apr 1, 2025
- Individual clients · unset to 319.0Oct 3, 2024 to Apr 1, 2025
- Pension plan clients · unset to 2.0Oct 3, 2024 to Apr 1, 2025
- Employees · 7 to 15Oct 3, 2024 to Apr 1, 2025
- Insurance-licensed employees · 1 to 2Oct 3, 2024 to Apr 1, 2025
- Financial planning clients · unset to Oct 3, 2024 to Apr 1, 2025
- State-registered IARs · 1 to 2Oct 3, 2024 to Apr 1, 2025
- Discretionary RAUM · unset to 268835841.0Oct 3, 2024 to Apr 1, 2025
- HNW RAUM · unset to 228578623.0Oct 3, 2024 to Apr 1, 2025
- Individual RAUM · unset to 28836973.0Oct 3, 2024 to Apr 1, 2025
- Non-discretionary RAUM · unset to 0.0Oct 3, 2024 to Apr 1, 2025
- Pension RAUM · unset to 659606.0Oct 3, 2024 to Apr 1, 2025
- RAUM · unset to 268835841.0Oct 3, 2024 to Apr 1, 2025
- Related broker-dealer · false to trueOct 3, 2024 to Apr 1, 2025
- Employees · 1 to 7May 24, 2024 to Aug 14, 2024
- Accounts · 0.0 to unsetMar 29, 2024 to Mar 31, 2024
- Discretionary RAUM · 0.0 to unsetMar 29, 2024 to Mar 31, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 29, 2024 to Mar 31, 2024
- RAUM · 0.0 to unsetMar 29, 2024 to Mar 31, 2024
Signals
1 dated events
- Amplify Financial, Llc filed its initial SEC registration (Form ADV)Sep 21, 2023 · 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
- Principal office phone
- 602-562-7800reportedpublic record, Form ADV, Jul 8, 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
- $57.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026