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CRD 329878
SOUTH JORDAN, UT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-28 (filing); first seen by DFX 2026-09-19.
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 |
|---|---|---|---|---|---|---|
| C•••••• P••••• K•••••• | n/a | SOUTH JORDAN, UT | OREM, UT | 2 | 11 | 2 | no |
| T•••• J•••• F•••••••• | n/a | Sandy, UT | SOUTH JORDAN, UT | 2 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••••• J•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2025 | Aug 25, 2026 | Aug 25, 2026 |
| F••••• P••• C••••••• L• | LIMIITED LIABILITY COMPANY | E | yes | 01/2024 | Aug 25, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D•••••••• A••••••• S•••••••• L•• | n/a | Bd affiliated wealth | $4.6B | N | yes | n/a |
| D••• I•••••••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Orem | Ut | United States | 10 | yes |
| Phoneix | Az | United States | 7 | no |
| Lewes | De | United States | 7 | no |
| Orem | Ut | United States | 4 | yes |
| GRAND JUNCTION | Co |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 8 | 5 | 3 | 6.5% | 2 | 1 | 0 | 46 | 11 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.1B | $2.5B | 62.6% | n/a | n/a | 95 | 48 | 6 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E••••••• W••••• | 2 | Feb 10, 2026 | Feb 17, 2026 | OREM, UT | Team lift out | RIA to new firm | 2.8% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| D•••••••• A••••••• S•••••••• L•• | 2 | Aug 28, 2026 | Aug 28, 2026 | SOUTH JORDAN, UT | Team lift out | Ibd to RIA | 1.8% |
| I••••••••• A••••••• N•••••• L•• | 4 | Aug 21, 2026 |
Dated 2026-08-21 (filing); first seen by DFX 2026-09-15.
| 1 |
| yes |
| T••• H•••• | n/a | SOUTH JORDAN, UT | MARICOPA, AZ | 2 | 16 | 2 | yes |
| J•••••• L••••• C•••••• | n/a | SOUTH JORDAN, UT | Sandy, UT | 2 | 14 | 1 | yes |
| A••• N••••• T••••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 30 | 4 | yes |
| T•••••• K••••••••• W•••••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 29 | 5 | yes |
| J•••• L•• M••••••• | n/a | SOUTH JORDAN, UT | OREM, UT | 2 | 25 | 3 | yes |
| K•••••• G• B••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 22 | 3 | yes |
| G•••••• E•••• C••••••• | Certified Financial Planner | Kathleen, GA | SOUTH JORDAN, UT | 2 | 13 | 1 | yes |
| S•• D••••• | Certified Financial Planner | OREM, UT | SOUTH JORDAN, UT | 2 | 14 | 1 | yes |
| C•••••••• A•••• W••• | n/a | OREM, UT | SOUTH JORDAN, UT | 2 | 19 | 1 | yes |
| A•••••••• J••••• H••••••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 13 | 1 | yes |
| A••• C•••••• L••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 13 | 1 | yes |
| L••••• E•••••••• L••••• | n/a | OREM, UT | SOUTH JORDAN, UT | 2 | 12 | 1 | yes |
| T••••• B•••• O•••• | n/a | SOUTH JORDAN, UT | OREM, UT | 2 | 10 | 1 | no |
| L••••• W••• | n/a | SOUTH JORDAN, UT | OREM, UT | 2 | 10 | 1 | yes |
| D•••• P••• F••••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 11 | 2 | yes |
| A•• L••••• J•••• | n/a | OREM, UT | SOUTH JORDAN, UT | 2 | 10 | 1 | yes |
| S•••• H•••••••• | n/a | SOUTH JORDAN, UT | OREM, UT | 2 | 11 | 1 | no |
| S•••• S••••••• | Certified Financial Planner | SOUTH JORDAN, UT | OREM, UT | 2 | 16 | 1 | no |
| D•••• B• G•••••• | n/a | SOUTH JORDAN, UT | Orem, UT | 2 | 22 | 3 | yes |
| T••• M•••••• N•••••• | n/a | Orem, UT | SOUTH JORDAN, UT | 2 | 12 | 2 | yes |
| C••••••••• L••• C••• | n/a | SOUTH JORDAN, UT | 2 | 27 | 3 | yes |
| J•••• E• S••••••••• | Chartered Financial Consultant | SOUTH JORDAN, UT | OREM, UT | 2 | 26 | 5 | yes |
| K••••• B• B•••• | Certified Financial Planner | SANDY, UT | SOUTH JORDAN, UT | 2 | 17 | 1 | yes |
| F••••• P••• C••••••• L• | LIMIITED LIABILITY COMPANY | E | yes | 01/2024 | Jan 17, 2024 | Oct 18, 2024 |
| A•••••••• J•••• B•••••• | CHIEF OPERATING OFFICER | Na | no | 01/2024 | Aug 25, 2026 | Aug 25, 2026 |
| A••••••••• B••••• | CHIEF FINANCIAL OFFICER | Na | no | 01/2024 | Aug 25, 2026 | Aug 25, 2026 |
| S••••• R•••• O••• | CHIEF EXECUTIVE OFFICER | Na | no | 01/2024 | Aug 25, 2026 | Aug 25, 2026 |
| P•••••• J•••••• M•••• | CHIEF COMPLIANCE OFFICER | Na | no | 01/2024 | Jan 17, 2024 | Oct 18, 2024 |
| n/a |
| Former SEC adviser |
| n/a |
| N |
| yes |
| n/a |
| D•••••••• I•••••••• | n/a | n/a | n/a | N | yes | n/a |
| W••• R••• C••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| 1 |
| yes |
| Mar 18, 2026 |
| $4.1B |
| $3.8B |
| 95 |
| 70 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $2.5B | $2.5B | 48 | 48 | 5 | n/a | n/a |
| DALLAS, TX |
| Team lift out |
| RIA to RIA |
| 4.8% |
| D•••••••• A••••••• S•••••••• L•• | 11 | Mar 11, 2025 | Mar 14, 2025 | SOUTH JORDAN, UT | Team lift out | Ibd to RIA | 10.7% |
| T••••••• A•••••• N••••••• L•• | 3 | Aug 15, 2024 | Jul 18, 2024 | MINNEAPOLIS, MN | Team lift out | Ibd to RIA | 2.1% |
| T••••••• A•••••• N••••••• L•• | 3 | Aug 15, 2024 | Jul 18, 2024 | PHOENIX, AZ | Team lift out | Ibd to RIA | 2.1% |
| D•••••••• W••••• M••••••••• L•• | 18 | Jul 17, 2024 | Mar 14, 2024 | OREM, UT | Firm absorbed | RIA to RIA | 78.3% |
| C•••••• W••••• M••••••••• L•• | 5 | Jul 16, 2024 | Mar 27, 2024 | OREM, UT | Firm absorbed | RIA to RIA | 100.0% |
| D•••••••• W••••• M••••••••• I••• | 2 | Mar 30, 2016 | Mar 27, 2024 | SOUTH JORDAN, UT | Team lift out | Other | 100.0% |