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•• I••••••••• A•••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Apr 15, 2026 · 5 filings
SEC status 120-day approval since May 15, 2026
RAUM
$295M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$295M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$73.8M
derived; firm RAUM over IAPD count
Employees
12
6 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$0 as of Aug 14, 2026
Apr 15, 2026$0 then
HNW client RAUM$0 as of Aug 14, 2026
Apr 15, 2026$0 then
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Apr 15, 20260 then
Employees (5.A)1 as of Aug 14, 2026
Apr 15, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 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
- RAUM per advisor
- $73.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $820,045derivedHNW RAUM over HNW clients
- Average account
- $316,284derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $27.2M, 22 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)
- 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
- High-net-worth individuals$182M62%
- Individuals$113M38%
- Individual clients
- 711reported
- HNW clients
- 222reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 933reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.2M for 22 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• F••• | Parker, Co | Jun 9, 2026 | 21 y | 1 |
| D••••• J•• M•••• | Scottsdale, Az | Jun 9, 2026 | 26 y | 1 |
| P•••••• K••••• | Scottsdale, Az | Jun 9, 2026 | 25 y | 1 |
| B•••••• T•••••• | Scottsdale, Az | Jun 9, 2026 | 13 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- D••••• J•• M•••• from E•••••••• A•••••••• L••Jun 9, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••••• K••••• from E•••••••• A•••••••• L••Jun 9, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• F••• from E•••••••• A•••••••• L••Jun 9, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••••• T•••••• from E•••••••• A•••••••• L••Jun 9, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••••••• A•••••••• L••Jun 9, 2026 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• D•••••• J•• · Managing Membercontrolsince 06/2026 · owns 75% or more
- S••••••••• B••••• D••••• · Chief Operating Officer/Chief Compliance Officercontrolsince 06/2026 · owns less than 5%
- K•••••• P•••••• · Membersince 06/2026 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Sep 9, 2026custody of client assets (Item 9.A): no on the filing of 2026-08-14, yes on the filing of 2026-09-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 933Aug 14, 2026 to Sep 9, 2026
- Advisory employees · 1 to 6Aug 14, 2026 to Sep 9, 2026
- BD registered reps · 1 to 4Aug 14, 2026 to Sep 9, 2026
- HNW clients · 0 to 222Aug 14, 2026 to Sep 9, 2026
- Individual clients · 0 to 711Aug 14, 2026 to Sep 9, 2026
- Assets in custody · unset to 27194005.0Aug 14, 2026 to Sep 9, 2026
- Custody of client assets · false to trueAug 14, 2026 to Sep 9, 2026
- Employees · 1 to 12Aug 14, 2026 to Sep 9, 2026
- Financial planning clients · to unsetAug 14, 2026 to Sep 9, 2026
- State-registered IARs · 0 to 4Aug 14, 2026 to Sep 9, 2026
- Discretionary RAUM · $0 to $295MAug 14, 2026 to Sep 9, 2026
- HNW RAUM · $0 to $182MAug 14, 2026 to Sep 9, 2026
- Individual RAUM · $0 to $113MAug 14, 2026 to Sep 9, 2026
- RAUM · $0 to $295MAug 14, 2026 to Sep 9, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 9, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 9, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 9, 2026
- Succession · false to unsetAug 14, 2026 to Sep 9, 2026
- Business name · O••• H•••••• L•• to 3•• I••••••••• A•••••••• L••Apr 15, 2026 to Jun 9, 2026
- HQ city · WOODY CREEK to SCOTTSDALEApr 15, 2026 to Jun 9, 2026
- HQ state · CO to AZApr 15, 2026 to Jun 9, 2026
- Legal name · O••• H•••••• L•• to 3•• I••••••••• A•••••••• L••Apr 15, 2026 to Jun 9, 2026
- Other offices · 0 to 1Apr 15, 2026 to Jun 9, 2026
Signals
1 dated events
- 2 advisors left E•••••••• A•••••••• L•• (Scottsdale, AZ) for 3•• I••••••••• A•••••••• L•• a day apartJun 9, 2026 · Team lift-out · 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
- Principal office phone
- 480-624-5650reportedpublic record, Form ADV, Sep 9, 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
- $73.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026