DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• W•••••• L••

CRD 289574

LEHI, UT

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Search this name across graphsid dfx:ria:bb42362d-8cc9-7859-5f36-f209990b95b6

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 6
On other graphs: 0
Observed: Jul 13, 2026 to Sep 11, 2026
2 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $116M••• Locked
Discretionary RAUM: $116M
Private client RAUM: $112Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $29.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••• S••••••	n/a	LEHI, UT	8	17	3	no
C••• B•••• A•••••	n/a	LEHI, UT	1	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• M••••••• J•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	07/2017	Sep 11, 2026	Sep 11, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	2	0	50.0%	2	0	0	4	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••• P••••••• A•• W•••••••• A•••••••	2	Jan 30, 2025	Mar 12, 2025	SALT LAKE CITY, UT	Team lift out	Ibd to RIA	0.0%

Relationships

Controls (1)

← S••••••• M••••••• J•••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 11, 2026 to presentfactForm ADV

Registered with (9)

← C••• P••• C••••••Advisorregistration: current employment
Aug 26, 2026 to presentfactForm ADV
← S••••• A•••••••• R••••••••Advisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← C••• B•••• A•••••

Dated events

Occurred
Jun 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 21, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 30, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
May 26, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb42362d-8cc9-7859-5f36-f209990b95b6
First observed: Jul 13, 2026
Last observed: Sep 11, 2026 12 days 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.