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
S••••• F•••••••• G••••
Legal name F••• S•••• F•••••••• P••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Jan 29, 2026 · 3 filings
SEC status approved since Jan 6, 2026
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$115M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$28.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$115M as of Aug 28, 2026
Jan 29, 2026$0 then
HNW client RAUM$41.6M as of Aug 28, 2026
Apr 23, 2026$41.6M then
State-registered IARs (5.B.3)4 as of Aug 28, 2026
Jan 29, 20263 then
Employees (5.A)4 as of Aug 28, 2026
Jan 29, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $28.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $233,026derivedRAUM 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
- 4.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $325,042, 6 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$73.2M64%
- High-net-worth individuals$41.6M36%
- Individual clients
- 332reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 493reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $325,042 for 6 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 |
|---|---|---|---|---|
| N••••••• G••••• T••••••• | Tucson, Az | Jan 20, 2026 | 10 y | 2 |
| S•••• R••• | Tucson, Az | Jan 21, 2026 | 29 y | 2 |
| M••• G•••• S••••• | Tucson, Az | Jan 27, 2026 | 12 y | 3 |
| A••••• N••••• A•••••• | Tucson, Az | Aug 31, 2026 | 10 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• N••••• A•••••• from N••••••• T•••• S••••••••• I••Aug 31, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••• G•••• S••••• from C••••••••• F•••••••• N••••••Jan 27, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• R••• from C••••••••• F•••••••• N••••••Jan 21, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- N••••••• G••••• T••••••• from C••••••••• F•••••••• N••••••Jan 20, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• M•••• G•••• · Managing Member/Ccocontrolsince 09/2017 · 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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Apr 23, 2026 to Aug 28, 2026
- Employees · 3 to 4Apr 23, 2026 to Aug 28, 2026
- State-registered IARs · 3 to 4Apr 23, 2026 to Aug 28, 2026
- Accounts · 0 to 493Jan 29, 2026 to Apr 23, 2026
- HNW clients · unset to 21.0Jan 29, 2026 to Apr 23, 2026
- Individual clients · unset to 332.0Jan 29, 2026 to Apr 23, 2026
- Assets in custody · unset to 325042.0Jan 29, 2026 to Apr 23, 2026
- Custody of client assets · false to trueJan 29, 2026 to Apr 23, 2026
- Financial planning clients · 0 to 11-25Jan 29, 2026 to Apr 23, 2026
- Discretionary RAUM · $0 to $115MJan 29, 2026 to Apr 23, 2026
- HNW RAUM · unset to 41633362.0Jan 29, 2026 to Apr 23, 2026
- Individual RAUM · unset to 73248293.0Jan 29, 2026 to Apr 23, 2026
- RAUM · $0 to $115MJan 29, 2026 to Apr 23, 2026
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 email
- info@schulzfinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- annie@schulzfinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- madisen@schulzfinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 520-495-2800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 520-468-7587reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/schulz-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- schulzfinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (520) 495-2800reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- schulzfinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- schulzfinancialgroup.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $28.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026