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
W••• C•••••• M••••••••• L••
Latest filing Aug 10, 2026
First filing on the tape Apr 25, 2025 · 6 filings
SEC status approved since Apr 24, 2025
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$228M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.6M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$230M as of Aug 10, 2026
Apr 25, 2025$0 then
HNW client RAUM$217M as of Aug 10, 2026
Aug 21, 2025$159M then
State-registered IARs (5.B.3)3 as of Aug 10, 2026
Apr 25, 20251 then
Employees (5.A)6 as of Aug 10, 2026
Apr 25, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $76.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $540,628derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 consultingreportedItem 5.G
- Custody
- $36.1M, 49 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M94%
- Individuals$11.3M4.9%
- Pension and profit-sharing plans$1.1M0.5%
- Corporations and businesses$782,6540.3%
- Individual clients
- 25reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 425reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.1M for 49 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••• N••••••• K•••••••••Certified Financial Planner, Chartered Financial Analyst | Chandler, Az | Apr 28, 2025 | 22 y | 3 |
| R•••••• J••• S•••••• | Gilbert, Az | May 16, 2025 | 18 y | 0 |
| R••••• W••••Chartered Financial Analyst | Chandler, Az | May 21, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- R••••• W•••• from I••••••• W••••• M••••••••• L••May 21, 2026 · RIA to RIA
- C••• N••••••• K••••••••• from I••••••• W••••• M••••••••• L••Apr 28, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Chandler, Az · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 13, 2026 to May 28, 2026
- Employees · 5 to 6Mar 13, 2026 to May 28, 2026
- State-registered IARs · 2 to 3Mar 13, 2026 to May 28, 2026
- Accounts · 364 to 425Aug 21, 2025 to Mar 13, 2026
- Advisory activities · 2 to 3Aug 21, 2025 to Mar 13, 2026
- HNW clients · 47 to 56Aug 21, 2025 to Mar 13, 2026
- Individual clients · 17 to 25Aug 21, 2025 to Mar 13, 2026
- Assets in custody · unset to 36065162.0Aug 21, 2025 to Mar 13, 2026
- Custody of client assets · false to trueAug 21, 2025 to Mar 13, 2026
- Employees · 4 to 5Aug 21, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 51-100Aug 21, 2025 to Mar 13, 2026
- HQ city · to CHANDLERAug 21, 2025 to Mar 13, 2026
- HQ state · to AZAug 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $169M to $230MAug 21, 2025 to Mar 13, 2026
- HNW RAUM · $159M to $217MAug 21, 2025 to Mar 13, 2026
- Individual RAUM · $9.1M to $11.3MAug 21, 2025 to Mar 13, 2026
- Pension RAUM · unset to 1072737.0Aug 21, 2025 to Mar 13, 2026
- RAUM · $169M to $230MAug 21, 2025 to Mar 13, 2026
- Accounts · 0 to 364May 28, 2025 to Aug 21, 2025
- HNW clients · unset to 47.0May 28, 2025 to Aug 21, 2025
- Individual clients · unset to 17.0May 28, 2025 to Aug 21, 2025
- Employees · 2 to 4May 28, 2025 to Aug 21, 2025
- Financial planning clients · 0 to 0May 28, 2025 to Aug 21, 2025
- Discretionary RAUM · $0 to $169MMay 28, 2025 to Aug 21, 2025
- HNW RAUM · unset to 159497130.0May 28, 2025 to Aug 21, 2025
- Individual RAUM · unset to 9083858.0May 28, 2025 to Aug 21, 2025
- RAUM · $0 to $169MMay 28, 2025 to Aug 21, 2025
- Advisory employees · 1 to 2Apr 25, 2025 to May 28, 2025
- Employees · 1 to 2Apr 25, 2025 to May 28, 2025
- State-registered IARs · 1 to 2Apr 25, 2025 to May 28, 2025
- Related adviser · true to falseApr 25, 2025 to May 28, 2025
Signals
No event on the tape.
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
- 480-795-4475reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-795-4482reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wlth-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wlthcapitalmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-795-4475reportedpublic record, Form ADV, Aug 10, 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
- $76.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026