DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
F•••••••• A•••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Dec 13, 2011 · 28 filings
SEC status approved since Jan 3, 2012
RAUM
$520M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.3%
$1.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$260M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$520M as of Aug 11, 2026
Apr 1, 2013$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 11, 2026
Apr 1, 20130 then
Employees (5.A)2 as of Aug 11, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- ocio i••••••••• advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- wrap p•••••• sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $260MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $519MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$519M100%
- Individuals$1.7M0.3%
- Individual clients
- 51reported
- HNW clients
- n/areported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 56reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $519M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• A• M•••• | Salt Lake City, Ut | Jun 13, 2022 | 24 y | 1 |
| S•••• E•••••••• P••••• | Cottonwood Heights, Ut | Aug 12, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••••• H•••• C•••• to S••••••• P•••••• A•••••••• L•••Nov 15, 2024 · Other
- P•••• T••••• K••••• to K••••• A•••••••• L••Jan 11, 2017 · Other
Joined, latest
- S•••• E•••••••• P••••• from C••••••• P••••••• I••••••••• A•••••••• L••Aug 12, 2026 · Other
- J••• P•••• S•••••• from G•••••• C•••••• L••Nov 21, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• R••••• · Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- D••••• S••••• B••••• · Chief Executive Officercontrolsince 03/2024 · owns less than 5%
- M••••• C••••••••• A• · Presidentcontrolsince 03/2024 · owns less than 5%
- H••••••• J••••• R•••••• · Chief Compliance Officersince 07/2019 · owns less than 5%
Entity owners
- F•••••••• S••••••• G••••• L•• · Sole Memberdirect · owns 75% or more
- P•• P•••••• L••• · Stockholderindirect · owns 75% or more of P•• T••••• I•••
- F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• S••••••• G••••• L••
- L•• E••••• P••••••• I• G•• L•• · General Partnerindirect · owns F of L•• P•• C••••••••• L•
- L•• P•• C••••••••• L• · Limited Partnerindirect · owns 50% to 75% of P•• P•••••• L•••
- L•• V••••• L•• · Stockholderindirect · owns 75% or more of F•• P•••••• I•••
- P•• B••••• I••• · Stockholderindirect · owns 75% or more of L•• V••••• L••
- P•• I••••••••• I••• · Stockholderindirect · owns 75% or more of P•• M••••• I•••
- P•• M••••• I••• · Stockholderindirect · owns 75% or more of P•• B••••• I•••
- P•• P••••• G•• L•• · General Partnerindirect · owns F of P•• P•••••• L•••
- P•• T••••• I••• · Stockholderindirect · owns 75% or more of P•• I••••••••• I•••
Related persons
Schedule D 7.A
- A••••••••• I•••custodiann
- A••••••• B•••••• G•••• R•••• M•••••••LP sponsorn
- A••••• F•••••••• S•••••••• L••LP sponsory
- E•••••••• A•••••••investment advisernRAUM $3.1B
- P•• R••••••••• L••LP sponsorn
Advisers that list F•••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cottonwood Heights, Ut · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 11, 2026discretionary share of RAUM of 0% against a peer median of 100% (71 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: I•••••••••, $500M to $1B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 50 to 56Mar 20, 2025 to Mar 29, 2026
- BD registered reps · 1 to 0Mar 20, 2025 to Mar 29, 2026
- Individual clients · 41 to 51Mar 20, 2025 to Mar 29, 2026
- Pension plan clients · 9 to 5Mar 20, 2025 to Mar 29, 2026
- Individual RAUM · $937,524 to $1.7MMar 20, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $464M to $520MMar 20, 2025 to Mar 29, 2026
- Pension RAUM · $464M to $519MMar 20, 2025 to Mar 29, 2026
- RAUM · $464M to $520MMar 20, 2025 to Mar 29, 2026
- Wrap assets (sponsor) · $464M to $519MMar 20, 2025 to Mar 29, 2026
- Accounts · 9 to 50Jan 13, 2025 to Mar 20, 2025
- Advisory employees · 2 to 1Jan 13, 2025 to Mar 20, 2025
- Individual clients · unset to 41.0Jan 13, 2025 to Mar 20, 2025
- Employees · 3 to 2Jan 13, 2025 to Mar 20, 2025
- Financial planning clients · 0 to 0Jan 13, 2025 to Mar 20, 2025
- State-registered IARs · 2 to 1Jan 13, 2025 to Mar 20, 2025
- Individual RAUM · unset to 937524.0Jan 13, 2025 to Mar 20, 2025
- Non-discretionary RAUM · $403M to $464MJan 13, 2025 to Mar 20, 2025
- Pension RAUM · $403M to $464MJan 13, 2025 to Mar 20, 2025
- RAUM · $403M to $464MJan 13, 2025 to Mar 20, 2025
- Wrap assets (sponsor) · $403M to $464MJan 13, 2025 to Mar 20, 2025
- HQ city · SALT LAKE CITY to COTTONWOOD HEIGHTSMar 29, 2024 to Jan 13, 2025
- Employees · 4 to 3Mar 29, 2023 to Mar 29, 2024
- HQ city · PHILADELPHIA to SALT LAKE CITYMar 29, 2023 to Mar 29, 2024
- HQ state · PA to UTMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $333M to $403MMar 29, 2023 to Mar 29, 2024
- Pension RAUM · $333M to $403MMar 29, 2023 to Mar 29, 2024
- RAUM · $333M to $403MMar 29, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · $333M to $403MMar 29, 2023 to Mar 29, 2024
- Accounts · 10 to 9Mar 30, 2022 to Mar 29, 2023
- Assets in custody · 406882886.0 to unsetMar 30, 2022 to Mar 29, 2023
- Custody of client assets · true to falseMar 30, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 2Mar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $407M to $333MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · $407M to $333MMar 30, 2022 to Mar 29, 2023
- RAUM · $407M to $333MMar 30, 2022 to Mar 29, 2023
- Wrap assets (sponsor) · $407M to $333MMar 30, 2022 to Mar 29, 2023
- BD registered reps · 0 to 1May 5, 2021 to Mar 30, 2022
- Assets in custody · $361M to $407MMay 5, 2021 to Mar 30, 2022
- Employees · 3 to 4May 5, 2021 to Mar 30, 2022
- State-registered IARs · 2 to 3May 5, 2021 to Mar 30, 2022
Signals
7 dated events
- J••••••• H•••• C•••• left F•••••••• A•••••••• L•• for S••••••• P•••••• A•••••••• L••• (registered 2024-09-30)Nov 15, 2024 · Advisor changed firm · fact
- A Christopher Mautz (President) appeared on Schedule A of F•••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- B••••• S•••• D•••• (Chief Executive Officer) appeared on Schedule A of F•••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- Bruce Mark Klein (Chief Executive Officer) no longer on Schedule A of F•••••••• A•••••••• L•• (listed 2023-03-29, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Andrew Gerrit Fedele (Chief Administrative Officer) no longer on Schedule A of F•••••••• A•••••••• L•• (listed 2023-03-29, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Michael Coluzzi (Chief Financial Officer) appeared on Schedule A of F•••••••• A•••••••• L••Mar 31, 2021 · Control person joined · fact
- Russell James Hadaway (Chief Compliance Officer) appeared on Schedule A of F•••••••• A•••••••• L••Aug 2, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- pcsretirement.com/aspire/premier-choicereportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-492-7341reportedpublic record, Form ADV, Aug 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $260Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026