DFX Intelligence
RIA Intelligence
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Farnam Financial CRD 306180 | Phoenix, AZ | independent RIA | $161M | 100% | 3 | $53.8M | 2 | 0 |
| Trinity Capital Adviser LLC CRD 326133 | Phoenix, AZ | asset manager | $158M | 0.0% | 0 | n/a | 1 | 1 |
| Profocus Incorporated CRD 113954 | Phoenix, AZ | independent RIA | $157M | 99% | 2 | $78.3M | 2 | 0 |
| T••••• R••••••••• P•••••••• L•• CRD 282017 | Mesa, AZ | independent RIA | $156M | 93% | 2 | $78.0M | 0 | 0 |
| W••• W••••• P•••••••• L•• CRD 311639 | Phoenix, AZ | independent RIA | $153M | 100% | 2 | $76.7M | 1 | 0 |
| S••••• L••••• G•••• CRD 172113 | Scottsdale, AZ | independent RIA | $153M | 100% | 3 | $50.9M | 1 | 0 |
| P•••••• P•••••• W••••• CRD 333708 | Mesa, AZ | independent RIA | $151M | 100% | 2 | $75.4M | 0 | 0 |
| C•• F•••••••• G•••• L•• CRD 310819 | Scottsdale, AZ | independent RIA | $151M | 100% | 21 | $7.2M | 17 | 0 |
| O••••• C•••••• M••••••••• CRD 306036 | Tempe, AZ | independent RIA | $150M | 87% | 4 | $37.6M | 2 | 0 |
| U•••• C•••••• C•••••• CRD 110301 | Tucson, AZ | independent RIA | $150M | 100% | 9 | $16.7M | 0 | 0 |
| M•••••••• W••••• M••••••••• CRD 332433 | Tempe, AZ | independent RIA | $143M | 99% | 7 | $20.5M | 2 | 0 |
| F•••••••• A•••••••• L•• CRD 298408 | Cave Creek, AZ | independent RIA | $142M | 99% | 3 | $47.4M | 0 | 0 |
| F••••••• F•••••••• S••••••••• L•• CRD 143969 | Tucson, AZ | independent RIA | $142M | 100% | 8 | $17.8M | 0 | 0 |
| I••••••••• W••••• M••••••••• L•• CRD 167657 | Mesa, AZ | independent RIA | $141M | 99% | 2 | $70.4M | 0 | 0 |
| S••••••• C•••••• M••••••••• L•• CRD 112021 | Avondale, AZ | asset manager | $139M | 0.0% | 1 | $139M | 2 | 0 |
| W••••• W••••• I••••••••• A••••••• L•• CRD 170536 | Phoenix, AZ | independent RIA | $139M | 100% | 2 | $69.4M | 0 | 0 |
| A•••• W••••• M••••••••• L•• CRD 168774 | Tempe, AZ | independent RIA | $138M | 100% | 2 | $69.0M | 0 | 0 |
| B••••••••• C•••••• L•• CRD 154920 | Scottsdale, AZ | independent RIA | $136M | 100% | 3 | $45.5M | 1 | 0 |
| D•••••• P•••••• W•••••• L•• CRD 332192 | Scottsdale, AZ | independent RIA | $133M | 100% | 1 | $133M | 0 | 0 |
| I•• A••••••• CRD 299658 | Scottsdale, AZ | asset manager | $128M | 0.0% | 1 | $128M | 0 | 0 |
| G•• I••••••••• CRD 333381 | Scottsdale, AZ | independent RIA | $128M | 100% | 2 | $63.8M | 2 | 0 |
| L••••••••• W••••• M••••••••• I••• CRD 337660 | Scottsdale, AZ | independent RIA | $127M | 100% | 2 | $63.7M | 2 | 0 |
| F••• P••••••••• W••••• A•••••••• L•• CRD 307792 | Chandler, AZ | independent RIA | $119M | 100% | 1 | $119M | 0 | 0 |
| R••••• W••••• M••••••••• CRD 313761 | Gilbert, AZ | independent RIA | $119M | 96% | 3 | $39.5M | 0 | 0 |
| S••••• F•••••••• G•••• CRD 339660 | Tucson, AZ | independent RIA | $115M | 100% | 4 | $28.7M | 0 | 0 |
| A•••• F•••••••• CRD 144720 | Phoenix, AZ | independent RIA | $114M | 63% | 1 | $114M | 0 | 0 |
| F•••••••• P••••••• F••••• L•• CRD 319273 | Tuscon, AZ | independent RIA | $114M | 94% | 4 | $28.5M | 0 | 0 |
| O••••••• C•••••• A•••••••• L•• CRD 152687 | Scottsdale, AZ | independent RIA | $112M | 80% | 2 | $56.1M | 2 | 0 |
| S••••• W••• A•••••••• L•• CRD 285314 | Scottsdale, AZ | independent RIA | $111M | 100% | 1 | $111M | 1 | 0 |
| H••• F•••••••• P••••••• L•• CRD 299122 | Sierra Vista, AZ | independent RIA | $105M | 100% | 3 | $35.0M | 0 | 0 |
| A•••••••• M••••••••• CRD 316870 | Phoenix, AZ | asset manager | $104M | 0.0% | 3 | $34.6M | 2 | 0 |
| S••••• C•••••••• W••••• A•••••••• L•• CRD 318700 | Scottsdale, AZ | independent RIA | $101M | 100% | 2 | $50.5M | 3 | 0 |
| E••••• A••••••• P••••••• L•• CRD 325650 | Gilbert, AZ | independent RIA | $101M | 80% | 4 | $25.3M | 0 | 0 |
| N••• U• W••••• A•••••••• L•• CRD 342136 | Scottsdale, AZ | independent RIA | $100M | 100% | 2 | $50.1M | 1 | 0 |
| 3••••• W••••• P••••••• L•• CRD 338300 | Scottsdale, AZ | independent RIA | $92.6M | 94% | 3 | $30.9M | 0 | 0 |
| T•••• C•••••• M••••••••• CRD 319447 | Scottsdale, AZ | independent RIA | $84.2M | 96% | 2 | $42.1M | 1 | 0 |
| B••••••• P••••••• L•• CRD 301762 | Mesa, AZ | asset manager | $75.3M | 0.0% | 0 | n/a | 1 | 2 |
| V••• W••••• M••••••••• P••• CRD 153559 | Flagstaff, AZ | independent RIA | $74.8M | 93% | 0 | n/a | 1 | 0 |
| A•••••• F••••••••• I••• CRD 288263 | Fountain Hills, AZ | independent RIA | $73.5M | 87% | 21 | $3.5M | 17 | 1 |
| R••• I••••••••• P•••••••• L•• CRD 169528 | Scottsdale, AZ | asset manager | $65.8M | 0.0% | 0 | n/a | 1 | 0 |
| E••••• W••••• M••••••••• L•• CRD 157950 | Tempe, AZ | independent RIA | $57.4M | 100% | 3 | $19.1M | 0 | 0 |
| S••••• I••••••••• M••••••••• L•• CRD 141195 | Tucson, AZ | independent RIA | $42.9M | 100% | 21 | $2.0M | 4 | 0 |
| X••••••••• V•••••••• L•• CRD 319671 | Scottsdale, AZ | asset manager | $26.0M | 0.0% | 0 | n/a | 0 | 1 |
| L••••• C••••••••• W••••• L•• CRD 281027 | Peoria, AZ | independent RIA | $22.4M | 100% | 1 | $22.4M | 2 | 0 |
| T••••• F••••• F••••• O•••••• L•• CRD 323249 | Scottsdale, AZ | independent RIA | $20.0M | 100% | 6 | $3.3M | 1 | 0 |
| P••••• S••••• F••••••••• CRD 141091 | Mesa, AZ | independent RIA | $17.9M | 100% | 27 | $662,288 | 0 | 0 |
| L•• C•••••• M••••••••• L•• CRD 283872 | Phoenix, AZ | asset manager | $14.9M | 0.0% | 0 | n/a | 0 | 0 |
| A••••• C••••••• L•• CRD 332985 | Tucson, AZ | asset manager | $1.0M | 0.0% | 2 | $500,000 | 0 | 1 |
| V••••••••• W••••• M••••••••• C•••• CRD 154149 | Scottsdale, AZ | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| S••• CRD 325358 | Phoenix, AZ | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.
209 advisers match.