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

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RIA / WealthRegistered adviserbank affiliated wealth managerSEC registeredRAUM under $100M

C••••••• P•••••••• A••••••• L••

CRD 337747

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:352b3b68-3809-a6cd-cb5a-fbb3608df839

Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 6
On other graphs: 0
Observed: Jul 29, 2025 to May 27, 2026
3 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: bank affiliated wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $5.8MItem 5.F on the latest filing (2026-05-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.8M
Private client RAUM: $5.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• M••••• C•••	n/a	JUPITER, FL \| SALT LAKE CITY, UT	0	11	2	no
G••• P•••• S•••	n/a	SALT LAKE CITY, UT \| COLTS NECK, NJ	0

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• W••••• A•••••••• L••	Owner	E	yes	07/2025	May 27, 2026	May 27, 2026
S•••• G•••• P••••	MANAGING DIRECTOR & CO- HEAD	Na	yes	07/2025	May 27, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$5.8M	$5.8M	7	7	7	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
7	3	4	50.0%	1	0	0	7	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.8M	n/a	n/a	n/a	n/a	7	n/a	7	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••••••	2	Apr 30, 2026	May 13, 2026	NEW YORK, NY	Team lift out	RIA to RIA	33.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• G••••• L••	2	Oct 8, 2025	Oct 14, 2025	NEW YORK, NY	Team lift out	Other	13.3%
C••••••• G••••• L••	3	Oct 7, 2025	Oct 14, 2025

Relationships

Registered with (9)

← W•••••• I•••• W••••••Advisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← W•••••• C••••••••• J••••••Advisorregistration: current employment
Jun 29, 2026 to presentfactForm ADV
← B•••••• M••••• K•••••Advisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← E•••••• H•••• E••••••

Dated events

Occurred
May 12, 2026
Advisor changed firm
W•••••• E Montague left C••••••• P•••••••• A••••••• L•• for Focus Partners Wealth, Llc (registered 2026-05-28)
Form ADVobserved 7 days ago
Occurred
Apr 30, 2026
Team lift-out
2 advisors left C••••••• P•••••••• A••••••• L•• (New York, NY) for Pathstone on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Apr 30, 2026
Advisor changed firm
Elizabeth M Smoose left C••••••• P•••••••• A••••••• L•• for Pathstone (registered 2026-05-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:352b3b68-3809-a6cd-cb5a-fbb3608df839
First observed: Jul 29, 2025
Last observed: May 27, 2026 3 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.