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
L•••••••• W••••• M••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape May 30, 2023 · 11 filings
SEC status approved since Jun 27, 2023
RAUM
$398M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$398M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$398M
derived; firm RAUM over IAPD count
Employees
5
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$398M as of Feb 25, 2026
Mar 31, 2024$203M then
HNW client RAUM$388M as of Feb 25, 2026
Mar 31, 2024$201M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Mar 31, 20242 then
Employees (5.A)5 as of Feb 25, 2026
Mar 31, 20242 then
Private funds: no history
RAUM +41% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $398MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +40%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $49.2M, 14 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$388M97%
- Individuals$10.0M2.5%
- Individual clients
- 27reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 370reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.2M for 14 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• R••••• W••••Certified Financial Planner | Scottsdale, Az | Jun 29, 2023 | 11 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- T••••• E••••• K••••••• to P••••••• C•••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
Joined, latest
- T••••• E••••• K••••••• from V••••••• A•••••••• I•••Mar 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••• R••••• W•••• from V••••••• A•••••••• I•••Jun 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• T••••• R••••• · Managing Member & Chief Compliance Officercontrolsince 06/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 25, 2026RAUM (Item 5.F) moved from $281,699,429 to $398,030,608 (+41.0%) between the annual amendments of 2025-01-29 and 2026-02-25; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
- custody status changedChange between filings · filing Feb 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-01-29, yes on the filing of 2026-02-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 259 to 370Jan 29, 2025 to Feb 25, 2026
- HNW clients · 81 to 113Jan 29, 2025 to Feb 25, 2026
- Individual clients · 19 to 27Jan 29, 2025 to Feb 25, 2026
- Assets in custody · unset to 49185497.0Jan 29, 2025 to Feb 25, 2026
- Custody of client assets · false to trueJan 29, 2025 to Feb 25, 2026
- Employees · 4 to 5Jan 29, 2025 to Feb 25, 2026
- HQ city · to SCOTTSDALEJan 29, 2025 to Feb 25, 2026
- HQ state · to AZJan 29, 2025 to Feb 25, 2026
- Discretionary RAUM · $282M to $398MJan 29, 2025 to Feb 25, 2026
- HNW RAUM · $273M to $388MJan 29, 2025 to Feb 25, 2026
- Individual RAUM · $8.3M to $10.0MJan 29, 2025 to Feb 25, 2026
- RAUM · $282M to $398MJan 29, 2025 to Feb 25, 2026
- Accounts · 122 to 259Dec 6, 2024 to Jan 29, 2025
- HNW clients · 33 to 81Dec 6, 2024 to Jan 29, 2025
- Individual clients · 5 to 19Dec 6, 2024 to Jan 29, 2025
- Employees · 2 to 4Dec 6, 2024 to Jan 29, 2025
- Financial planning clients · 26-50 to 101-250Dec 6, 2024 to Jan 29, 2025
- HQ city · unset to Dec 6, 2024 to Jan 29, 2025
- HQ state · unset to Dec 6, 2024 to Jan 29, 2025
- Discretionary RAUM · $203M to $282MDec 6, 2024 to Jan 29, 2025
- HNW RAUM · $201M to $273MDec 6, 2024 to Jan 29, 2025
- Individual RAUM · $1.5M to $8.3MDec 6, 2024 to Jan 29, 2025
- RAUM · $203M to $282MDec 6, 2024 to Jan 29, 2025
- Business name · O•••• W••••• M••••••••• L•• to L•••••••• W••••• M••••••••• L••Nov 14, 2024 to Dec 6, 2024
- Legal name · O•••• W••••• M••••••••• L•• to L•••••••• W••••• M••••••••• L••Mar 31, 2024 to Aug 7, 2024
- Accounts · 150 to 122Oct 25, 2023 to Mar 31, 2024
- Advisory employees · 1 to 2Oct 25, 2023 to Mar 31, 2024
- Advisory activities · 3 to 2Oct 25, 2023 to Mar 31, 2024
- HNW clients · 2 to 33Oct 25, 2023 to Mar 31, 2024
- Individual clients · 22 to 5Oct 25, 2023 to Mar 31, 2024
- Assets in custody · 77527000.0 to unsetOct 25, 2023 to Mar 31, 2024
- Custody of client assets · true to falseOct 25, 2023 to Mar 31, 2024
- Employees · 1 to 2Oct 25, 2023 to Mar 31, 2024
- Financial planning clients · 0 to 26-50Oct 25, 2023 to Mar 31, 2024
- State-registered IARs · 1 to 2Oct 25, 2023 to Mar 31, 2024
- Discretionary RAUM · $143M to $203MOct 25, 2023 to Mar 31, 2024
- HNW RAUM · $600,000 to $201MOct 25, 2023 to Mar 31, 2024
- Individual RAUM · $142M to $1.5MOct 25, 2023 to Mar 31, 2024
- RAUM · $143M to $203MOct 25, 2023 to Mar 31, 2024
- Accounts · 0 to 150Jun 29, 2023 to Oct 25, 2023
Signals
5 dated events
- T••••• E••••• K••••••• left L•••••••• W••••• M••••••••• L•• for P••••••• C•••••• M••••••••• L•• (registered 2026-07-09)Jul 8, 2026 · Advisor changed firm · fact
- L•••••••• W••••• M••••••••• L•• reported RAUM $398.0M, up 41% from $281.7M (2025-01-29 to 2026-02-25)Feb 25, 2026 · RAUM change · derived
- Robert Trent White (Managing Member & Chief Compliance Officer) appeared on Schedule A of L•••••••• W••••• M••••••••• L••Jun 29, 2023 · Control person joined · fact
- Rees Nicholas Karkanen (Chief Compliance Officer) no longer on Schedule A of L•••••••• W••••• M••••••••• L•• (listed 2023-06-09, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- O•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 30, 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
- Website
- L••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-300-0062reportedpublic record, Form ADV, Feb 25, 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
- $398Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026