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
G•• W••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Oct 3, 2024 · 5 filings
SEC status approved since Nov 4, 2024
RAUM
$23.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$23.8M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$5.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$23.8M as of Mar 10, 2026
Feb 21, 2025$0 then
HNW client RAUM: $22.3M
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Feb 21, 20252 then
Employees (5.A)4 as of Mar 10, 2026
Feb 21, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $5.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $266,988derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 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, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $207,991, 5 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$22.3M94%
- Individuals$1.4M6.0%
- Individual clients
- 5reported
- HNW clients
- 21reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207,991 for 5 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E• T•••••Certified Financial Planner | Mesa, Az | Nov 25, 2024 | 10 y | 3 |
| M••••• C•••••••• G•••••• | Mesa, Az | Dec 2, 2024 | 20 y | 0 |
| M•••••• T••• B•••• | Mesa, Az | Mar 5, 2025 | 20 y | 1 |
| J••••• D••••• G•••••• | Mesa, Az | Jan 21, 2026 | 11 y | 0 |
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
- M•••••• T••• B•••• from G•••••••• C•••••• M••••••••• L••Mar 5, 2025 · RIA to a newly registered adviser
- J•••• E• T••••• from K•••••• F•••••••• G••••• L••Nov 25, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• T••• · Membercontrolsince 09/2024 · owns 25% to 50%
- G••••••• M•••••• C•••••••• · Membercontrolsince 09/2024 · owns 25% to 50%
- T•••••• J••••• E• · Member, Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- G•••••••• C•••••• M••••••••• L••investment adviseryRAUM $539M
- G•••••••• E••••• M••••••••• L••pooled vehicle sponsorn
- G••••••••• B•••• • G••••••• P•••insurancen
- M••••• G••••••insurancey
- M•••••• B••••insurancey
- Q•••••• S•••••insurancen
- R•• B•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mesa, Az | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mesa, AZ3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 10, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-22, yes on the filing of 2026-03-10peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 0 to 89Oct 22, 2025 to Mar 10, 2026
- Advisory employees · 2 to 3Oct 22, 2025 to Mar 10, 2026
- HNW clients · unset to 21.0Oct 22, 2025 to Mar 10, 2026
- Individual clients · unset to 5.0Oct 22, 2025 to Mar 10, 2026
- Pension plan clients · unset to 5.0Oct 22, 2025 to Mar 10, 2026
- Assets in custody · unset to 207991.0Oct 22, 2025 to Mar 10, 2026
- Custody of client assets · false to trueOct 22, 2025 to Mar 10, 2026
- Employees · 3 to 4Oct 22, 2025 to Mar 10, 2026
- Insurance-licensed employees · 1 to 0Oct 22, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 11-25Oct 22, 2025 to Mar 10, 2026
- State-registered IARs · 2 to 4Oct 22, 2025 to Mar 10, 2026
- Discretionary RAUM · $0 to $23.8MOct 22, 2025 to Mar 10, 2026
- HNW RAUM · unset to 22325685.0Oct 22, 2025 to Mar 10, 2026
- Individual RAUM · unset to 1436232.0Oct 22, 2025 to Mar 10, 2026
- Pension RAUM · unset to 0.0Oct 22, 2025 to Mar 10, 2026
- RAUM · $0 to $23.8MOct 22, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 0Feb 21, 2025 to Oct 22, 2025
- Advisory employees · 3 to 2Dec 18, 2024 to Feb 21, 2025
- Insurance-licensed employees · 0 to 1Dec 18, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 2Dec 18, 2024 to Feb 21, 2025
Signals
1 dated events
- G•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 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
- Business email
- i•••@w••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-820-9184reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-708-1640reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- w••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $5.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026