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
3••••• W••••• P••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Sep 11, 2025 · 4 filings
SEC status approved since Sep 30, 2025
RAUM
$92.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$86.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$30.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$92.6M as of Aug 5, 2026
Sep 11, 2025$0 then
HNW client RAUM$61.1M as of Aug 5, 2026
Mar 17, 2026$61.1M then
State-registered IARs (5.B.3)3 as of Aug 5, 2026
Sep 11, 20253 then
Employees (5.A)3 as of Aug 5, 2026
Sep 11, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 5, 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
- 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
- $30.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $228,760derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $772,135, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$61.1M66%
- Individuals$25.6M28%
- Pension and profit-sharing plans$5.9M6.4%
- Individual clients
- 82reported
- HNW clients
- 24reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 405reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $772,135 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| B•••••• M•••••• S•••• | S••••Sdale, Az | Oct 1, 2025 | 10 y | 1 |
| A•••••••• M• C••••Certified Financial Planner | S••••Sdale, Az | Oct 1, 2025 | 10 y | 2 |
| J•••• T•••• H••• | S••••Sdale, Az | Oct 1, 2025 | 10 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- B•••••• M•••••• S•••• from B•••••• W••••• L••Oct 1, 2025 · RIA to a newly registered adviser
- A•••••••• M• C•••• from B•••••• W••••• L••Oct 1, 2025 · RIA to a newly registered adviser
- J•••• T•••• H••• from B•••••• W••••• L••Oct 1, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from B•••••• W••••• L••Oct 8, 2025 · S••••Sdale, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A••••••••• M• · Investment Adviser Representativecontrolsince 08/2025 · owns 25% to 50%
- S••••• B••••••• M•••••• · Investment Adviser Representative Officercontrolsince 08/2025 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| S••••Sdale, Az · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 405Sep 11, 2025 to Mar 17, 2026
- HNW clients · unset to 24.0Sep 11, 2025 to Mar 17, 2026
- Individual clients · unset to 82.0Sep 11, 2025 to Mar 17, 2026
- Pension plan clients · unset to 6.0Sep 11, 2025 to Mar 17, 2026
- Assets in custody · unset to 772135.0Sep 11, 2025 to Mar 17, 2026
- Custody of client assets · false to trueSep 11, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 101-250Sep 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $0 to $92.6MSep 11, 2025 to Mar 17, 2026
- HNW RAUM · unset to 61130606.0Sep 11, 2025 to Mar 17, 2026
- Individual RAUM · unset to 25618149.0Sep 11, 2025 to Mar 17, 2026
- Pension RAUM · unset to 5899217.0Sep 11, 2025 to Mar 17, 2026
- RAUM · $0 to $92.6MSep 11, 2025 to Mar 17, 2026
Signals
1 dated events
- B•••••• W••••• L••'s advisors moved to 3••••• W••••• P••••••• L•• (Scottsdale, AZ): 3 of 6 registered, on the same dayOct 8, 2025 · Firm absorbed (people side) · derived
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/3roots-wealth-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-980-1525reportedpublic record, Form ADV, Aug 5, 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
- $30.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026