DFX Intelligence

S•••• I••••••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••• I••••••••• M••••••••• I•••

CRD 143629

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Search this name across graphsid dfx:ria:d10991c1-9ad5-25b4-1433-8e5b3270cbaa

Data as of May 9, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 0
Observed: Mar 19, 2012 to May 9, 2016
18 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: $57.9M••• Locked
Discretionary RAUM: $57.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $28.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• D••• S••••	n/a	Lehi, UT \| LEHI, UT	19	43	n/a	no
T••••• R••• S••••	n/a	LEHI, UT \| Highland, UT	1	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• L••••• D•••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	03/2007	Mar 19, 2012	May 9, 2016
S••••• S••••• G•••••	VICE PRESIDENT & ASSISTANT PORTFOLIO MANAGER	Na	yes	04/2016	Mar 19, 2012	May 9, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 4, 2016

Advisor flows

••• Locked

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	1	3

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$57.9M	$91.8M	-36.9%	n/a	n/a	4	4	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• M•••••• C•••••• L••	2	Nov 13, 2024	Feb 26, 2025	GIG HARBOR, WA	Team lift out	Other	66.7%

Relationships

Registered with (6)

← T••••• R••• S••••Advisorregistration: current employment
Dec 18, 2024 to presentfactForm ADV
← L•••• D••• S••••Advisorregistration: current employment
Apr 25, 2007 to presentfactForm ADV
← S•••• G••••• S••••Advisorregistration: previous registration
Jul 28, 2008 to Nov 13, 2024factForm ADV
← T••• R•••••• C••••

Dated events

Occurred
Nov 13, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Nov 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 12, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d10991c1-9ad5-25b4-1433-8e5b3270cbaa
First observed: Mar 19, 2012
Last observed: May 9, 2016 126 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.