DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 131308
SALT LAKE CITY, UT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JENNIFER KYLE HASH | n/a | KAYSVILLE, UT | SALT LAKE CITY, UT | 16 | 25 | 3 | yes |
| SAMUEL LEWIS ALLEN | n/a | SALT LAKE CITY, UT | 11 | 28 | n/a | yes |
| CATHERINE ELIZABETH NOVAK | n/a | SALT LAKE CITY, UT | Houston, TX | 9 | 25 | 2 | yes |
| RICHARD JOSEPH JOHNSON | n/a | AMERICAN FORK, UT | SALT LAKE CITY, UT | 6 | 19 | 3 | yes |
| STEPHEN LAWRENCE WILLDEN | n/a | SALT LAKE CITY, UT | 6 | 22 | n/a | yes |
| BRUCE O SNOW | n/a | SALT LAKE CITY, UT | SOUTH JORDAN, UT | 6 | 19 | n/a | no |
| GUY EARL COWDEN | n/a | HOUSTON, TX | SALT LAKE CITY, UT | SUGAR LAND, TX | 2 | 26 | n/a | yes |
| ANTHONY GINO VALERI | Chartered Financial Analyst | San Diego, CA | SALT LAKE CITY, UT | 2 | 33 | 1 | no |
| SCOTT DAVIS KELLNER | n/a | SALT LAKE CITY, UT | 2 | 20 | 2 | no |
| Joseph Irvin | Chartered Financial Analyst | SALT LAKE CITY, UT | 2 | 11 | n/a | no |
| DOUGLAS ROBERT GRAY | n/a | SALT LAKE CITY, UT | 2 | 32 | 2 | yes |
| Jordan T Taylor | n/a | SALT LAKE CITY, UT | 1 | 16 | n/a | no |
| Andrew Robert Grill | Chartered Financial Analyst | SALT LAKE CITY, UT | 0 | 12 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SOUTH MAIN PRIVATE EQUITY I, LLC | Real Estate Fund | $20,741 | Mar 31, 2022 | 10 | Mar 28, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| VALERI, ANTHONY, GINO | PRESIDENT & DIRECTOR OF INVESTMENT MANAGEMENT | Na | yes | 08/2024 | Aug 15, 2024 | Aug 15, 2024 |
| ZIONS BANCORPORATION, N. A. | PARENT COMPANY | E | yes | 12/2017 | Oct 1, 2018 | Aug 15, 2024 |
| HASH, JENNIFER, KYLE | CHIEF COMPLIANCE OFFICER | Na | no | 05/2015 | May 4, 2015 | Aug 15, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ZIONS BANCORPORATION, N.A. | n/a | n/a | n/a | N | yes | Ut |
| ZIONS BANCORPORATION, N.A. | n/a | n/a | n/a | N | yes | n/a |
| ZIONS DIRECT, INC. | n/a | n/a | n/a | N | yes | n/a |
| ZIONS INSURANCE AGENCY | n/a | n/a | n/a | N | yes | n/a |
| ZIONS PUBLIC FINANCE, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Conroe | TX | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $831M | $831M | 14 | 4 | 0 | n/a | n/a |
| 2024 | Mar 21, 2025 | $1.5B | $1.5B | 16 | 4 | 1 | n/a | n/a |
| 2023 | Mar 8, 2024 | $1.8B | $1.8B | 16 | 4 | 2 | n/a | n/a |
| 2022 | Feb 15, 2023 | $2.0B | $2.0B | 17 | 4 | 2 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.2B | $1.2B | 14 | 4 | 1 | 1 | $20,741 |
| 2020 | Mar 5, 2021 | $844M | $833M | 15 | 5 | 1 | 1 | $106,346 |
| 2019 | Feb 7, 2020 | $872M | $826M | 15 | 5 | 1 | 1 | $1.3M |
| 2018 | Feb 11, 2019 | $871M | $805M | 12 | 4 | 1 | 1 | $1.4M |
| 2017 | Jan 17, 2018 | $837M | $832M | 11 | 4 | 1 | 1 | $1.6M |
| 2016 | Mar 23, 2017 | $1.4B | $1.3B | 38 | 19 | n/a | 1 | $2.6M |
| 2015 | Mar 22, 2016 | $1.8B | $1.7B | 50 | 26 | n/a | 1 | $2.6M |
| 2014 | Mar 31, 2015 | $2.0B | $1.8B | 60 | 45 | n/a | 1 | $2.6M |
| 2013 | Mar 31, 2014 | $1.6B | $1.3B | 80 | 60 | n/a | 1 | $2.9M |
| 2012 | Apr 1, 2013 | $1.8B | $1.6B | 100 | 80 | n/a | 1 | $2.9M |
| 2011 | Mar 28, 2012 | $1.5B | $1.4B | n/a | n/a | n/a | 1 | $2.9M |
| 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 | 2 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $831M | $1.5B | -43.1% | $2.0B | -24.9% | 14 | 16 | 0 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Aug 13, 2024 | Aug 14, 2024 | SALT LAKE CITY, UT | Team lift out | Other | 18.2% |
| LPL FINANCIAL LLC | 4 | Mar 23, 2015 | Apr 2, 2015 | SALT LAKE CITY, UT | Team lift out | Other | 16.7% |
| LPL FINANCIAL LLC | 9 | Feb 20, 2015 | Feb 27, 2015 | SALT LAKE CITY, UT | Team lift out | Other | 26.5% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AMEGY INVESTMENTS, INC. | 4 | Dec 31, 2015 | Jan 6, 2016 | HOUSTON, TX | Team lift out | Other | 33.3% |