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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIRST WESTERN ADVISORS

CRD 13623

HOLLADAY, 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:c3586ca2-a8c0-ef05-8dc3-57bd59419c1d

Data as of Apr 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 47
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 25, 2019
24 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $262MItem 5.F on the latest filing (2019-04-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $260M
Private client RAUM: $260MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees: 15
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,664
Individual clients: 1,607
High net worth clients: 41
Custody, client assets: $3.9M
SEC number: 801-58158
CRD: 13623
Filings on the tape: 24
First filed: Mar 30, 2012
Latest filed: Apr 25, 2019
Organised: Corporation, Utah

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
CARMEL SANDS, LLC	Member	E	yes	12/2000	Mar 30, 2012	Apr 25, 2019
TERAN, GARY WAYNE	PRESIDENT / DIRECTOR / CEO	A	yes	10/1997	Mar 30, 2012	Apr 25, 2019
TERAN, GARY WAYNE	GENERAL MEMBER	C	yes	12/2000	Mar 30, 2012	Apr 25, 2019
TERAN, LISA I	GENERAL MEMBER	C	yes	12/2000	Oct 7, 2014	Apr 25, 2019
ANDERSEN, DEE ALLEN	Director	Na	no	12/2012	Apr 25, 2019	Apr 25, 2019
BURTON, KIRK WATTIS	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019
GUNDERSEN, BRIAN EDDINGTON	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019
HOER, MICHAEL A.	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019
LUNNEN, ROBERT C	Director	Na	no	10/1997	Mar 30, 2012	Apr 25, 2019
PUGSLEY, MARK W.	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019
SMART, DAVID HOLT	Director	Na	no	12/2012	Apr 25, 2019	Apr 25, 2019
TERAN, JEFFREY WAYNE	Finop	Na	no	10/2011	Mar 30, 2012	Apr 25, 2019
WADE, WILLIAM DAVID	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019
WALLACE, EMILY MARVA	SECRETARY / TREASURER / DIRECTOR	Na	no	09/2003	Mar 30, 2012	Apr 25, 2019
WEISENBURGER, GUY DAVID	Director	Na	no	08/2012	Apr 25, 2019	Apr 25, 2019

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Farmington	Ut	United States	1	no
SALT LAKE CITY	Ut	United States	1	yes

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
2018	Mar 31, 2019	$262M	$260M	20	15	2	n/a	n/a
2017	Mar 30, 2018	$284M	$284M	22	17	2	n/a	n/a
2016	Mar 31, 2017	$270M	$251M	20	18	n/a	n/a	n/a
2015	Mar 30, 2016	$214M	$214M	23	20	n/a	n/a	n/a
2014	Mar 27, 2015	$213M	$213M	30	25	n/a	n/a	n/a
2013	Mar 31, 2014	$616M	$196M	29	13	n/a	n/a	n/a
2012	Mar 28, 2013	$214M	$214M	8	8	n/a	n/a	n/a
2011	Mar 30, 2012	$413M	$264M	n/a	n/a	n/a	n/a	n/a

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
2018	$262M	$284M	-7.7%	$214M	6.9%	20	22	2	2

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	9	Sep 27, 2019	Oct 10, 2019	SALT LAKE CITY, UT	Firm absorbed	RIA to ibd	81.8%

Relationships

Controls (3)

← TERAN, GARY WAYNEOwnerGENERAL MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← CARMEL SANDS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TERAN, LISA IOwnerGENERAL MEMBER, ownership code C, individual
Oct 7, 2014 to presentfactForm ADV

Owns (11)

← WALLACE, EMILY MARVAOwnerSECRETARY / TREASURER / DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LUNNEN, ROBERT COwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ANDERSEN, DEE ALLENOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← TERAN, JEFFREY WAYNEOwnerFINOP, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HOER, MICHAEL A.OwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← PUGSLEY, MARK W.OwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← WADE, WILLIAM DAVIDOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← BURTON, KIRK WATTISOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← WEISENBURGER, GUY DAVIDOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← GUNDERSEN, BRIAN EDDINGTONOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV
← SMART, DAVID HOLTOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2019 to presentfactForm ADV

Registered with (30)

← Michael William BlakeAdvisorregistration: previous registration
Sep 22, 2011 to Mar 2, 2020factForm ADV
← JEFFREY WAYNE TERANAdvisorregistration: previous registration
Jan 29, 2007 to Nov 15, 2019factForm ADV
← GARY WAYNE TERANAdvisorregistration: previous registration
Jan 5, 1995 to Oct 24, 2019factForm ADV
← JOSHUA CHARLES LILJENQUISTAdvisorregistration: previous registration
Apr 10, 2014 to Oct 11, 2019factForm ADV
← ROGER GARY LARSENAdvisorregistration: previous registration
Aug 14, 2002 to Oct 2, 2019factForm ADV
← RICHARD KENNETH BINGHAMAdvisorregistration: previous registration
Jun 2, 2005 to Oct 1, 2019factForm ADV
← SCOTT MILLER KIMBALLAdvisorregistration: previous registration
Aug 27, 2014 to Oct 1, 2019factForm ADV
← KEVIN VERN GROWAdvisorregistration: previous registration
Jan 18, 2006 to Sep 27, 2019factForm ADV
← ANDREW JAY BROWNAdvisorregistration: previous registration
Nov 12, 2015 to Sep 27, 2019factForm ADV
← ERIC CALVIN WALLACEAdvisorregistration: previous registration
Oct 6, 2004 to Sep 27, 2019factForm ADV
← COLE ALAN COOPERAdvisorregistration: previous registration
Aug 26, 2005 to Sep 27, 2019factForm ADV
← KIM LEON COWDELLAdvisorregistration: previous registration
Dec 15, 2003 to Aug 27, 2019factForm ADV
← CRAIG WILLARD JEWETTAdvisorregistration: previous registration
Dec 4, 2003 to Jun 21, 2019factForm ADV
← John William HomerAdvisorregistration: previous registration
Jan 23, 2004 to Jun 19, 2019factForm ADV
← BROOKE RANDALL SMITHAdvisorregistration: previous registration
Apr 30, 2014 to May 15, 2015factForm ADV
← Alexander Tucker EllwoodAdvisorregistration: previous registration
Oct 25, 2011 to Dec 31, 2012factForm ADV
← STEVEN WESLEY KAPSIMALISAdvisorregistration: previous registration
Mar 29, 2012 to Apr 4, 2012factForm ADV
← TREVOR CHRISTIAN STAUFFERAdvisorregistration: previous registration
Jan 23, 2007 to Feb 17, 2012factForm ADV
← STEVEN BALLANTYNEAdvisorregistration: previous registration
Apr 12, 2005 to Feb 6, 2012factForm ADV
← JASON DANIEL YEAGERAdvisorregistration: previous registration
Apr 19, 2005 to May 31, 2011factForm ADV
← MARVIN RAY REYNOLDSAdvisorregistration: previous registration
Oct 16, 2007 to Jul 6, 2009factForm ADV
← BRENT ALAN COCHRANAdvisorregistration: previous registration
Feb 3, 2003 to Oct 2, 2006factForm ADV
← DAVID JONATHAN WHITEAdvisorregistration: previous registration
Mar 11, 2002 to Oct 2, 2006factForm ADV
← DANIEL RHETT JEPPSONAdvisorregistration: previous registration
Jan 1, 2001 to Oct 2, 2006factForm ADV
← DUANE M TONEYAdvisorregistration: previous registration
Feb 14, 2003 to Oct 2, 2006factForm ADV
← MARK PAUL COWDELLAdvisorregistration: previous registration
Dec 3, 2003 to Mar 3, 2006factForm ADV
← SCOTT DEON PREECEAdvisorregistration: previous registration
May 14, 2003 to Jan 3, 2005factForm ADV
← GREGORY NONDAS ROUMPOSAdvisorregistration: previous registration
Jun 4, 2003 to Feb 17, 2004factForm ADV
← MAXWELL ALBERT COULLIETTEAdvisorregistration: previous registration
May 16, 2003 to Feb 2, 2004factForm ADV
← BRIAN GLEN KASTELERAdvisorregistration: previous registration
Apr 7, 1997 to Sep 30, 2003factForm ADV

Moved with (1)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser9 advisors, firm absorbed
Sep 27, 2019 to Oct 10, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3586ca2-a8c0-ef05-8dc3-57bd59419c1d
First observed: Mar 30, 2012
Last observed: Apr 25, 2019 90 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.

FIRST WESTERN ADVISORS

CRD 13623

HOLLADAY, 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:c3586ca2-a8c0-ef05-8dc3-57bd59419c1d

Data as of Apr 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARMEL SANDS, LLC

Member

yes

12/2000

Mar 30, 2012

Apr 25, 2019

TERAN, GARY WAYNE

PRESIDENT / DIRECTOR / CEO

yes

10/1997

Mar 30, 2012

Apr 25, 2019

TERAN, GARY WAYNE

GENERAL MEMBER

yes

12/2000

Mar 30, 2012

Apr 25, 2019

TERAN, LISA I

GENERAL MEMBER

yes

12/2000

Oct 7, 2014

Apr 25, 2019

ANDERSEN, DEE ALLEN

Director

12/2012

Apr 25, 2019

BURTON, KIRK WATTIS

Director

08/2012

Apr 25, 2019

GUNDERSEN, BRIAN EDDINGTON

Director

08/2012

Apr 25, 2019

HOER, MICHAEL A.

Director

08/2012

Apr 25, 2019

LUNNEN, ROBERT C

Director

10/1997

Mar 30, 2012

Apr 25, 2019

PUGSLEY, MARK W.

Director

08/2012

Apr 25, 2019

SMART, DAVID HOLT

Director

12/2012

Apr 25, 2019

TERAN, JEFFREY WAYNE

Finop

10/2011

Mar 30, 2012

Apr 25, 2019

WADE, WILLIAM DAVID

Director

08/2012

Apr 25, 2019

WALLACE, EMILY MARVA

SECRETARY / TREASURER / DIRECTOR

09/2003

Mar 30, 2012

Apr 25, 2019

WEISENBURGER, GUY DAVID

Director

08/2012

Apr 25, 2019

City

State

Country

Employees

Also broker-dealer

Farmington

United States

SALT LAKE CITY

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 31, 2019

$262M

$260M

n/a

2017

Mar 30, 2018

$284M

n/a

2016

Mar 31, 2017

$270M

$251M

n/a

2015

Mar 30, 2016

$214M

n/a

2014

Mar 27, 2015

$213M

n/a

2013

Mar 31, 2014

$616M

$196M

n/a

2012

Mar 28, 2013

$214M

n/a

2011

Mar 30, 2012

$413M

$264M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$262M

$284M

-7.7%

$214M

6.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Sep 27, 2019

Oct 10, 2019

SALT LAKE CITY, UT

Firm absorbed

RIA to ibd

81.8%