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CRD 116950
SOUTH JORDAN, UT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| R••••• S•••• T••••• | n/a | SOUTH JORDAN, UT | 24 | 30 | 1 | yes |
| T••• P•••••• M•••••••• | Chartered Financial Consultant | SOUTH JORDAN, UT | 15 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••••• T•••• P•••••• | PRINCIPAL AND CHIEF COMPLIANCE OFFICER | Na | yes | 03/2008 | Sep 18, 2017 | Mar 7, 2024 |
| M••••••••• T•••• P•••••• | Owner | E | yes | 03/2008 | Sep 18, 2017 | Mar 7, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $378M | $326M | 15.8% | $247M | 15.2% | 5 | 5 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 2 | Dec 14, 2023 | Dec 6, 2023 | SOUTH JORDAN, UT | Team lift out | RIA to ibd | 28.6% |
| yes |
| R••••• M•••••• W•••• | n/a | SOUTH JORDAN, UT | 13 | 13 | n/a | yes |
| P•••• M• F•••••••• | Certified Financial Planner | SOUTH JORDAN, UT | 6 | 19 | 5 | yes |
| A••••• C••• M•••••••• | n/a | SOUTH JORDAN, UT | 4 | 10 | n/a | yes |
| Owner |
| C |
| yes |
| 01/2023 |
| Feb 17, 2023 |
| Mar 7, 2024 |
| R•• C••••••••• I••• | Owner | C | yes | 03/2008 | Oct 4, 2018 | Mar 7, 2024 |
| T•••••• R•••••• S•••• | Owner | E | yes | 03/2008 | Sep 18, 2017 | Mar 7, 2024 |
| T••• P• M•••••••• F••••••••• I••• | Owner | C | yes | 03/2008 | Oct 4, 2018 | Mar 7, 2024 |
| W••••• R•••••• M•••••• | Owner | E | yes | 01/2023 | Feb 17, 2023 | Mar 7, 2024 |
| $378M |
| $0 |
| 5 |
| 5 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 26, 2025 | $326M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2023 | Mar 7, 2024 | $288M | $0 | 9 | 6 | 0 | n/a | n/a |
| 2022 | Feb 17, 2023 | $247M | $0 | 7 | 7 | 0 | n/a | n/a |
| 2021 | Feb 3, 2022 | $261M | $0 | 6 | 6 | 0 | n/a | n/a |
| 2020 | Feb 26, 2021 | $209M | $0 | 6 | 6 | 0 | n/a | n/a |
| 2019 | Feb 19, 2020 | $167M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2018 | Jan 25, 2019 | $138M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2017 | Feb 6, 2018 | $138M | $0 | 4 | 4 | 0 | n/a | n/a |