DFX Intelligence

A••••••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••••••• W••••• A•••••••• L••

CRD 314668

CENTERVILLE, UT

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Search this name across graphsid dfx:ria:0372038a-225d-cb3c-ae21-81e3c484b798

Data as of Aug 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 6
On other graphs: 0
Observed: May 26, 2021 to Aug 6, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $552M••• Locked
Discretionary RAUM: $552M
Private client RAUM: $552Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $50.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• G• H••••	n/a	CENTERVILLE, UT	5	18	3	no
J•••• A•••• M•••	n/a	CENTERVILLE, UT	5	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• P•••• A•••••	OWNER/CHIEF EXECUTIVE OFFICER	E	yes	09/2009	May 26, 2021	May 1, 2024
K•••••• C•••• E••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Mar 21, 2024	May 1, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 10, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$552M	$439M	25.6%	$271M	26.8%	19	14	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••••• C••••••• L••	5	Nov 22, 2021	Jun 25, 2021	BOUNTIFUL, UT	Team lift out	RIA to RIA	6.6%

Relationships

Registered with (11)

← A•••••••• C••••••••• L••••Advisorregistration: current employment
Jul 15, 2026 to presentfactForm ADV
← J•••••• K••• H•••••• S•••••••••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← J•••• D•••• V•• L••••••Advisorregistration: current employment
May 14, 2025 to presentfactForm ADV
← J•••••• A••• E••••

Dated events

Occurred
Aug 6, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 6, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Aug 6, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 10, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0372038a-225d-cb3c-ae21-81e3c484b798
First observed: May 26, 2021
Last observed: Aug 6, 2026 48 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.