DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••• L•••• I••

CRD 114596

SALT LAKE CITY, UT

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Search this name across graphsid dfx:ria:d43bbffc-d467-5622-d2b9-5c5f23b44b76

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 3, 2012 to Mar 31, 2026
38 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=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $334M••• Locked
Discretionary RAUM: $324M
Private client RAUM: $319Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $167Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• S•••• C•••••••	Certified Financial Planner	SALT LAKE CITY, UT	9	34	1	no
N••••••• A••••••••	Certified Financial Planner\|Chartered Financial Analyst	SALT LAKE CITY, UT	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• W••••••• S••••	CHIEF EXECUTIVE OFFICER; SHAREHOLDER	E	yes	12/2000	Apr 3, 2012	Mar 28, 2024
A••••••• J••••• P•••••• F•	CHIEF COMPLIANCE OFFICER	Na	no	01/2020	Mar 31, 2021	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$334M	$282M	18.7%	$254M	9.7%	5	5	2	1

Relationships

Registered with (3)

← N••••••• A••••••••Advisorregistration: current employment
Jan 26, 2026 to presentfactForm ADV
← W•••••• S•••• C•••••••Advisorregistration: previous registration
Jan 1, 2002 to Dec 31, 2016factForm ADV
← J••••• D•••• S••••Advisorregistration: previous registration
Feb 16, 2017 to May 7, 2019factForm ADV

Controls (1)

Dated events

Occurred
Jan 26, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d43bbffc-d467-5622-d2b9-5c5f23b44b76
First observed: Apr 3, 2012
Last observed: Mar 31, 2026 5 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.