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
Curafin Advisors
Legal name Curafin Advisors, LLC
Latest filing Mar 4, 2026
First filing on the tape Jan 22, 2024 · 7 filings
SEC status approved since Feb 22, 2024
RAUM
$748M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$374M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$748M as of Mar 4, 2026
Mar 19, 2025$448M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Mar 19, 20253 then
Employees (5.A)6 as of Mar 4, 2026
Mar 19, 20256 then
Private funds: no history
RAUM +67% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $374MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $6.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +67%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$443M59%
- Pooled investment vehicles$305M41%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 96reported
- Charitable clients
- n/areported
- Accounts
- 111reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.41 institutional_share=0.59 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Shawn Jerome West | Phoenix, Az | Jun 7, 2024 | 21 y | 3 |
| Ty Daniel Wheeler | Phoenix, Az | Jun 11, 2024 | 11 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
- Ty Daniel Wheeler from Global Retirement Partners LLCJun 11, 2024 · Other
- Shawn Jerome West from Tmd Wealth ManagementJun 7, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jerome Shawn West · Member, Founder, Erisa Directorcontrolsince 11/2023 · owns less than 5%
- Jerome Shawn West · Owner, Member And Managercontrolsince 11/2023 · owns 75% or more of Mtwest, LLC
- S Andrew Warning · Chief Compliance Officersince 06/2024 · owns less than 5%
Entity owners
- Mtwest, LLC · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 4, 2026institutional share of RAUM moved from 77.0% to 59.0% between the annual amendments of 2025-03-19 and 2026-03-04peers: other advisers, $500M to $1B (95)
What changed
consecutive filings, newest first
- Accounts · 81 to 111Nov 12, 2025 to Mar 4, 2026
- Advisory employees · 3 to 2Nov 12, 2025 to Mar 4, 2026
- Pension plan clients · 75 to 96Nov 12, 2025 to Mar 4, 2026
- Pooled vehicle clients · 5 to 15Nov 12, 2025 to Mar 4, 2026
- State-registered IARs · 3 to 2Nov 12, 2025 to Mar 4, 2026
- Discretionary RAUM · $448M to $748MNov 12, 2025 to Mar 4, 2026
- Pension RAUM · $344M to $443MNov 12, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $104M to $305MNov 12, 2025 to Mar 4, 2026
- RAUM · $448M to $748MNov 12, 2025 to Mar 4, 2026
- Advisory activities · 4 to 3Jun 10, 2024 to Mar 19, 2025
- Pension plan clients · 76 to 75Jun 10, 2024 to Mar 19, 2025
- Financial planning clients · unset to Jun 10, 2024 to Mar 19, 2025
- Discretionary RAUM · $229M to $448MJun 10, 2024 to Mar 19, 2025
- Pension RAUM · $139M to $344MJun 10, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $90.0M to $104MJun 10, 2024 to Mar 19, 2025
- RAUM · $229M to $448MJun 10, 2024 to Mar 19, 2025
- Accounts · 0 to 81May 2, 2024 to Jun 10, 2024
- Advisory employees · 2 to 3May 2, 2024 to Jun 10, 2024
- Pension plan clients · unset to 76.0May 2, 2024 to Jun 10, 2024
- Pooled vehicle clients · unset to 5.0May 2, 2024 to Jun 10, 2024
- Employees · 4 to 6May 2, 2024 to Jun 10, 2024
- State-registered IARs · 0 to 3May 2, 2024 to Jun 10, 2024
- Discretionary RAUM · $0 to $229MMay 2, 2024 to Jun 10, 2024
- Pension RAUM · unset to 139189197.0May 2, 2024 to Jun 10, 2024
- Pooled vehicle RAUM · unset to 90022506.0May 2, 2024 to Jun 10, 2024
- RAUM · $0 to $229MMay 2, 2024 to Jun 10, 2024
- HQ city · SCOTTSDALE to PHOENIXJan 22, 2024 to May 2, 2024
Signals
3 dated events
- Curafin Advisors reported RAUM $748.4M, up 67% from $448.4M (2025-11-12 to 2026-03-04)Mar 4, 2026 · RAUM change · derived
- Curafin Advisors reported RAUM $448.4M, up 96% from $229.2M (2024-06-10 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Curafin Advisors filed its initial SEC registration (Form ADV)Jan 22, 2024 · 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
- Firm profile
- linkedin.com/company/curafin-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- curafinadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-284-7080reportedpublic record, Form ADV, Mar 4, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $374Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026