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SEC-registered adviser

F••••• O••••• I••••••••• A••••••• L••

Asset manager (funds and pooled vehicles)Scottsdale, ArizonaCRD 339607SEC 801-135842IAPD
Latest filing Sep 18, 2026
First filing on the tape Mar 19, 2026 · 2 filings
SEC status 120-day approval since Apr 13, 2026
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$220M as of Sep 18, 2026
Mar 19, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 18, 2026
Mar 19, 20260 then
Employees (5.A)3 as of Sep 18, 2026
Mar 19, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$220MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutionsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$220M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
        Entity owners
        • F••••• O••••• A••••••• L•• · Member Compliance Officer
          direct · owns 75% or more
        Related persons
        Schedule D 7.A
        No related person reported.
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        ADV anomalies
        1 against comparable advisers; where to look, not conclusions
        • business activity changedChange between filings · filing Sep 18, 2026
          financial planning (Item 5.G.1): no on the filing of 2026-03-19, yes on the filing of 2026-09-18
          peers: asset managers, $100M to $500M (1,568)
        How anomalies are measured
        What changed
        consecutive filings, newest first
        • Accounts · 0 to 1
          Mar 19, 2026 to Sep 18, 2026
        • Advisory activities · 1 to 2
          Mar 19, 2026 to Sep 18, 2026
        • Insurance-licensed employees · 0 to 1
          Mar 19, 2026 to Sep 18, 2026
        • Financial planning clients · to 0
          Mar 19, 2026 to Sep 18, 2026
        • Discretionary RAUM · $0 to $220M
          Mar 19, 2026 to Sep 18, 2026
        • RAUM · $0 to $220M
          Mar 19, 2026 to Sep 18, 2026
        • Succession · false to unset
          Mar 19, 2026 to Sep 18, 2026
        Signals
        No event on the tape.
        Across DFX
        shared identifiers only, never a name match
        How to reach
        public business contact points only, each with its source
        Principal office phone
        (800) 447-7090reportedpublic record, Form ADV, Sep 18, 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
        Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
        RAUM per advisor
        n/aderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026