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CRD 126983
SANDY, 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•••••• E••• L•••••• | Certified Financial Planner | SANDY, UT | 23 | 36 | 2 | no |
| D•••• W•••••• S•••• | Certified Financial Planner | SANDY, UT | 21 | 21 | 1 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••••• R••••••• E••• | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | C | yes | 04/2003 | Mar 20, 2012 | Mar 12, 2024 |
| S••••••• G••••••• M• | MANAGING MEMBER | B | yes | 01/2020 | Feb 9, 2021 | Mar 12, 2024 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $838M | $718M | 16.7% | $524M | 16.9% | 20 | 18 | 0 | 0 |
| no |
| R•••••• C•••••• S•••• | Certified Financial Planner | SANDY, UT | 15 | 17 | n/a | no |
| G•••••• M• S•••••• | Certified Financial Planner | SANDY, UT | 14 | 17 | n/a | no |
| M•••••• K• B•••• | Certified Financial Planner | SANDY, UT | 12 | 18 | 1 | no |
| M••••• A••••• | n/a | SANDY, UT | 12 | 15 | n/a | no |
| K••••••• N••••• D•••••• | n/a | SANDY, UT | 9 | 11 | n/a | no |
| A••••• F••••••••• | Certified Financial Planner | SANDY, UT | 6 | 10 | n/a | no |
| M•••••• S•••• J••••••• | n/a | SANDY, UT | 6 | 12 | n/a | no |
| N••• J•••• H••••• | Certified Financial Planner | SANDY, UT | 4 | 12 | 1 | no |
| C••• B••••••• P••• | n/a | SANDY, UT | 2 | 10 | n/a | no |
| H••••• S•••• | n/a | SANDY, UT | 1 | 10 | n/a | no |
| A••••• D•••• F•••• | n/a | SANDY, UT | 0 | 10 | n/a | no |
| R••• G• P••••• | Certified Financial Planner | SANDY, UT | 0 | 10 | 1 | no |
| H••••• H••••••• | n/a | SANDY, UT | 0 | 25 | 1 | no |
| MANAGING MEMBER |
| B |
| yes |
| 09/2021 |
| Feb 23, 2022 |
| Mar 12, 2024 |
| S••••• D••••• W•••••• | MANAGING MEMBER | C | yes | 01/2008 | Mar 20, 2012 | Mar 12, 2024 |
| Mar 23, 2026 |
| $838M |
| $475M |
| 20 |
| 13 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 13, 2025 | $718M | $411M | 18 | 10 | 0 | n/a | n/a |
| 2023 | Mar 7, 2024 | $632M | $367M | 16 | 9 | 0 | n/a | n/a |
| 2022 | Feb 16, 2023 | $524M | $323M | 16 | 9 | 0 | n/a | n/a |
| 2021 | Feb 23, 2022 | $582M | $341M | 16 | 9 | 0 | n/a | n/a |
| 2020 | Feb 9, 2021 | $499M | $293M | 15 | 8 | 0 | n/a | n/a |
| 2019 | Feb 13, 2020 | $410M | $249M | 16 | 8 | 0 | n/a | n/a |
| 2018 | Feb 19, 2019 | $326M | $197M | 16 | 8 | 0 | n/a | n/a |
| 2017 | Feb 13, 2018 | $312M | $187M | 14 | 8 | 0 | n/a | n/a |
| 2016 | Feb 14, 2017 | $258M | $154M | 11 | 7 | n/a | n/a | n/a |
| 2015 | Feb 11, 2016 | $258M | $134M | 15 | 11 | n/a | n/a | n/a |
| 2014 | Feb 18, 2015 | $249M | $129M | 15 | 11 | n/a | n/a | n/a |
| 2013 | Mar 11, 2014 | $206M | $102M | 15 | 11 | n/a | n/a | n/a |
| 2012 | Feb 27, 2013 | $160M | $96.6M | 13 | 10 | n/a | n/a | n/a |
| 2011 | Mar 20, 2012 | $139M | $78.1M | n/a | n/a | n/a | n/a | n/a |