DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

F•••••••• W••••• M••••••••• L••

CRD 153881

D•••••, UT

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Search this name across graphsid dfx:ria:14e1d060-fadf-c6d5-34d2-727500aabc4e

Data as of Sep 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 21
On other graphs: 3
Observed: Mar 21, 2012 to Sep 9, 2022
51 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

F•••••••• W••••• M••••••••• L••

Private equity manager · shared crd

Allocatorsidentity

F•••••••• W••••• M••••••••• L••

Investment consultant · shared crd

Private Creditidentity

F•••••••• W••••• M••••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $787Mderived••• Locked
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••• P••••••• E••••• F•••• L•	Hedge Fund	$86.2M	Sep 9, 2022	87	Jul 30, 2020	reported	021-372110
R•••••• P••••••• E••••• F••• I•• L•	Hedge Fund	$34.9M	Sep 9, 2022

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• A•••• E•••••	MANAGING MEMBER/CCO	E	yes	06/2010	Mar 21, 2012	Sep 9, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
F•••••••• C•• G••••• P•	n/a	n/a	n/a	N	yes	n/a
F•••••••• G•••• I••••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SALT L••• CITY	Ut	United States	6	no
SOUTH JORDAN	Ut	United States	2	yes
Bardonia	NY	United States	1	no
Provo	Ut	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$1.3B	$906M	48.7%	$414M	48.2%	21	22	4	5

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D•••• W••••• A•••••••	2	Dec 16, 2022	Oct 16, 2024	D•••••, UT	Team lift out	RIA to RIA	50.0%
I••••• P••••••• L••	2	Nov 11, 2022	Sep 26, 2022

Relationships

Advises (14)

→ A••• L••• F•••• L••Private fundPrivate Equity Fund, IA
Nov 30, 2020 to presentfactForm ADV
→ U••• L••• D••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Dec 13, 2021 to presentfactForm ADV
→ R•••••• P••••••• E••••• A•••• F•••• L•Private fundHedge Fund, IA
Jun 7, 2021 to presentfactForm ADV
→ R•••••• P••••••• I••••• F••• I•• L•

Dated events

Occurred
Apr 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 2, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 20, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 16, 2022
Team lift-out

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14e1d060-fadf-c6d5-34d2-727500aabc4e
First observed: Mar 21, 2012
Last observed: Sep 9, 2022 49 months 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.