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
B••••••• P••••••• P••••••• L••
Latest filing Jun 25, 2026
First filing on the tape May 24, 2023 · 22 filings
SEC status approved since Jun 23, 2023
RAUM
$98.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$84.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$32.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$98.4M as of Jun 25, 2026
Jul 5, 2024$71.2M then
HNW client RAUM$57.3M as of Jun 25, 2026
Jul 5, 2024$41.3M then
State-registered IARs (5.B.3)3 as of Jun 25, 2026
Jul 5, 20242 then
Employees (5.A)4 as of Jun 25, 2026
Jul 5, 20242 then
Private funds1 as of Jul 24, 2025
Mar 11, 20251 then
RAUM +7.6% over the last fiscal yearIARs 2 to 3offices 1 to 3
Practice profile
derived from the filing of Jun 25, 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
- $32.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $273,312derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $81.1MreportedItem 5.I
- Custody
- $1.5M, 6 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
- is an insurance broker or agent (6.A.6)
- 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$57.3M58%
- Individuals$27.6M28%
- Pension and profit-sharing plans$12.5M13%
- Charitable organizations$616,8920.6%
- Corporations and businesses$316,2960.3%
- Individual clients
- 83reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 360reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $81.1M sponsored, $0 managedreported
- Custody of client assets
- $1.5M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• L•• P•••••••Certified Financial Planner | Mesa, Az | Jul 5, 2023 | 16 y | 1 |
| L••••• J••••• M•••• | Boise, Id | May 2, 2024 | 16 y | 4 |
| J••• D••• C••Certified Financial Planner | Las Vegas, Nv | Jul 24, 2025 | 15 y | 1 |
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••• D••• C•• from A•••• W••••• A•••••••Jul 24, 2025 · RIA to RIA
- L••••• J••••• M•••• from O•••• F•• I•••May 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- A••••• L•• P••••••• from O•••• F•• I•••Jul 5, 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
- M••••• L•••••• J••••• · Foundercontrolsince 06/2023 · owns 50% to 75%
- P•••••••• A•••••• L•• · Ccocontrolsince 06/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 296 to 360Jul 24, 2025 to Mar 12, 2026
- Advisory employees · 2 to 3Jul 24, 2025 to Mar 12, 2026
- Corporate clients · 7.0 to unsetJul 24, 2025 to Mar 12, 2026
- HNW clients · 21 to 26Jul 24, 2025 to Mar 12, 2026
- Individual clients · 72 to 83Jul 24, 2025 to Mar 12, 2026
- Pension plan clients · 9.0 to unsetJul 24, 2025 to Mar 12, 2026
- Pooled vehicle clients · 1.0 to unsetJul 24, 2025 to Mar 12, 2026
- Assets in custody · $12.4M to $1.5MJul 24, 2025 to Mar 12, 2026
- Employees · 2 to 4Jul 24, 2025 to Mar 12, 2026
- State-registered IARs · 2 to 3Jul 24, 2025 to Mar 12, 2026
- Private funds · 1 to unsetJul 24, 2025 to Mar 12, 2026
- Discretionary RAUM · $91.5M to $98.4MJul 24, 2025 to Mar 12, 2026
- HNW RAUM · $46.3M to $57.3MJul 24, 2025 to Mar 12, 2026
- Individual RAUM · $22.0M to $27.6MJul 24, 2025 to Mar 12, 2026
- Pension RAUM · $9.9M to $12.5MJul 24, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · 11000000.0 to unsetJul 24, 2025 to Mar 12, 2026
- RAUM · $91.5M to $98.4MJul 24, 2025 to Mar 12, 2026
- Wrap assets (sponsor) · $66.1M to $81.1MJul 24, 2025 to Mar 12, 2026
- Financial planning clients · 1-10 to 1-10Mar 11, 2025 to Jul 24, 2025
- Other offices · 1 to 3Mar 11, 2025 to Jul 24, 2025
- Accounts · 285 to 296Dec 11, 2024 to Mar 11, 2025
- BD registered reps · 1 to 0Dec 11, 2024 to Mar 11, 2025
- Corporate clients · unset to 7.0Dec 11, 2024 to Mar 11, 2025
- HNW clients · 19 to 21Dec 11, 2024 to Mar 11, 2025
- Individual clients · 75 to 72Dec 11, 2024 to Mar 11, 2025
- Pension plan clients · 8 to 9Dec 11, 2024 to Mar 11, 2025
- Pooled vehicle clients · unset to 1.0Dec 11, 2024 to Mar 11, 2025
- Assets in custody · unset to 12373618.0Dec 11, 2024 to Mar 11, 2025
- Custody of client assets · false to trueDec 11, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 1-10Dec 11, 2024 to Mar 11, 2025
- Private funds · unset to 1Dec 11, 2024 to Mar 11, 2025
- Discretionary RAUM · $67.2M to $91.5MDec 11, 2024 to Mar 11, 2025
- HNW RAUM · $41.3M to $46.3MDec 11, 2024 to Mar 11, 2025
- Individual RAUM · $22.3M to $22.0MDec 11, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $4.0M to $0Dec 11, 2024 to Mar 11, 2025
- Pension RAUM · $7.6M to $9.9MDec 11, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · unset to 11000000.0Dec 11, 2024 to Mar 11, 2025
- RAUM · $71.2M to $91.5MDec 11, 2024 to Mar 11, 2025
- Wrap assets (sponsor) · $59.7M to $66.1MDec 11, 2024 to Mar 11, 2025
- BD registered reps · 2 to 1Apr 11, 2024 to Apr 24, 2024
Signals
4 dated events
- Cooper Ashleigh Swayze (Managing Member And Chief Compliance Officer) no longer on Schedule A of B••••••• P••••••• P••••••• L•• (listed 2023-06-23, absent 2023-06-28)Jun 28, 2023 · Control person left · inference
- Lee Austin Peterson (Cco) appeared on Schedule A of B••••••• P••••••• P••••••• L••Jun 28, 2023 · Control person joined · fact
- Jaeger Landon Mance (Founder) appeared on Schedule A of B••••••• P••••••• P••••••• L••Jun 28, 2023 · Control person joined · fact
- B••••••• P••••••• P••••••• L•• filed its initial SEC registration (Form ADV)May 24, 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
- Business phone
- 702-569-7316reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- backboneplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 702569716reportedpublic record, Form ADV, Jun 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
- $32.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026