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
P•••••••• W••••• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2012 · 32 filings
SEC status approved since Jan 3, 2005
RAUM
$2.0B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
67%
$1.3B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$223M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$2.0B as of Mar 19, 2026
Mar 28, 2012$422M then
HNW client RAUM$1.1B as of Mar 19, 2026
Jan 30, 2018$404M then
State-registered IARs (5.B.3)9 as of Mar 19, 2026
Apr 1, 20135 then
Employees (5.A)15 as of Mar 19, 2026
Apr 1, 201313 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $223MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $339,755derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $166M, 272 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B56%
- Pension and profit-sharing plans$663M33%
- Individuals$213M11%
- Individual clients
- 717reported
- HNW clients
- 371reported
- Pension plan clients
- 36reported
- Charitable clients
- n/areported
- Accounts
- 5,906reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 272 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M• B•••••Certified Financial Planner | Salt Lake City, Ut | Jun 13, 2008 | 20 y | 1 |
| P•••••• J•••• B••••Certified Financial Planner | Salt Lake City, Ut | Jul 2, 2008 | 29 y | 0 |
| J•••••• D••• Z••••••Certified Financial Planner | Salt Lake City, Ut | May 4, 2009 | 31 y | 1 |
| W•••• O••••• L•••• | Salt Lake City, Ut | Dec 14, 2010 | 39 y | 0 |
| E••• A•••• H••••••••Certified Financial Planner | Salt Lake City, Ut | Oct 3, 2013 | 20 y | 5 |
| M••••••• M•••••• S••• | Salt Lake City, Ut | Jun 20, 2014 | 24 y | 0 |
| T•••• L• S•••••Certified Financial Planner | Salt Lake City, Ut | Apr 14, 2017 | 23 y | 2 |
| M••• T••••••• W•••••••Certified Financial Planner | North Salt Lake City, Ut | Apr 18, 2022 | 33 y | 2 |
| G•••••• V••••• M•••••• | Salt Lake City, Ut | Jul 8, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••• E•••••• K••••• to A••••••• W••••• A•••••••• L••Apr 5, 2022 · RIA to RIA
- C••• G•••• D•••••• to S••Mar 13, 2019 · RIA to affiliated broker-dealer or bank
- C••• E•••••• K••••• to D•••••• A•••••••Sep 7, 2018 · RIA to RIA
- T•••• L• S••••• to T•••••••• W•••••Nov 23, 2011 · Other
- M••••• A••••• W•••••• to T•••••••• W•••••Oct 20, 2006 · Other
Joined, latest
- M••• T••••••• W••••••• from A••• C•••••• M••••••••• L••Apr 18, 2022 · RIA to RIA
- C••• E•••••• K••••• from D•••••• A•••••••Dec 4, 2018 · RIA to RIA
- C••• G•••• D•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Sep 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- T•••• L• S••••• from T•••••••• W•••••Apr 14, 2017 · Other
- E••• A•••• H•••••••• from S••••• O•••••• A• P••• O• B•• F•••••••• G••••Oct 3, 2013 · Other
- J•••••• D••• Z•••••• from C•••••• S••••• • C••• I•••May 4, 2009 · Other
- R••• M• B••••• from H•••••• T••••••• • K•••• L••Jun 13, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••• M• · Executive Vice Presidentcontrolsince 03/2013 · owns less than 5%
- H••••••••• E•••• A•••• · Executive Vice Presidentcontrolsince 09/2020 · owns less than 5%
- H•••••••• J••••• R• · Directorcontrolsince 01/2022 · owns less than 5%
- K•••• R••••• · Directorcontrolsince 01/2020 · owns less than 5%
- L•••• C•••••• T••••••• · Directorcontrolsince 01/2021 · owns less than 5%
- P•••••••• W••••••• C••••• · Directorcontrolsince 01/2024 · owns less than 5%
- S••••••• K••••••••• M•••• · Directorcontrolsince 01/2022 · owns less than 5%
- S••••••• J••••• N• · Directorcontrolsince 01/2023 · owns less than 5%
- Z••••••• J••••••• D••• · Chief Compliance Officer, Presidentcontrolsince 03/2013 · owns less than 5%
- M••••••• M•••••••• S• · Director Officer, Presidentsince 09/2009 · owns less than 5%
- M•••••• S•••••• K• · Directorsince 10/2012 · owns less than 5%
- W••••• H•••••• R• · Directorsince 01/2018 · owns less than 5%
Entity owners
- U••• M•••••• A••••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 19, 2026Z••••••• J••••••• D••• (CHIEF COMPLIANCE OFFICER, PRESIDENT) left Schedule A between the filings of 2024-03-26 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 5,721 to 5,906Mar 19, 2025 to Mar 19, 2026
- HNW clients · 332 to 371Mar 19, 2025 to Mar 19, 2026
- Individual clients · 734 to 717Mar 19, 2025 to Mar 19, 2026
- Assets in custody · $163M to $166MMar 19, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 11-25Mar 19, 2025 to Mar 19, 2026
- State-registered IARs · 8 to 9Mar 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 19, 2025 to Mar 19, 2026
- HNW RAUM · $890M to $1.1BMar 19, 2025 to Mar 19, 2026
- Individual RAUM · $195M to $213MMar 19, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $644M to $663MMar 19, 2025 to Mar 19, 2026
- Pension RAUM · $644M to $663MMar 19, 2025 to Mar 19, 2026
- RAUM · $1.7B to $2.0BMar 19, 2025 to Mar 19, 2026
- Accounts · 6,048 to 5,721Apr 12, 2024 to Mar 19, 2025
- HNW clients · 300 to 332Apr 12, 2024 to Mar 19, 2025
- Individual clients · 766 to 734Apr 12, 2024 to Mar 19, 2025
- Pension plan clients · 43 to 36Apr 12, 2024 to Mar 19, 2025
- Assets in custody · $169M to $163MApr 12, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 1-10Apr 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $976M to $1.1BApr 12, 2024 to Mar 19, 2025
- HNW RAUM · $779M to $890MApr 12, 2024 to Mar 19, 2025
- Individual RAUM · $197M to $195MApr 12, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $556M to $644MApr 12, 2024 to Mar 19, 2025
- Pension RAUM · $556M to $644MApr 12, 2024 to Mar 19, 2025
- RAUM · $1.5B to $1.7BApr 12, 2024 to Mar 19, 2025
- Accounts · 5,064 to 6,048May 9, 2023 to Mar 26, 2024
- HNW clients · 267 to 300May 9, 2023 to Mar 26, 2024
- Individual clients · 804 to 766May 9, 2023 to Mar 26, 2024
- Assets in custody · $157M to $169MMay 9, 2023 to Mar 26, 2024
- Employees · 14 to 15May 9, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 101-250May 9, 2023 to Mar 26, 2024
- Discretionary RAUM · $858M to $976MMay 9, 2023 to Mar 26, 2024
- HNW RAUM · $659M to $779MMay 9, 2023 to Mar 26, 2024
- Individual RAUM · $199M to $197MMay 9, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $469M to $556MMay 9, 2023 to Mar 26, 2024
- Pension RAUM · $469M to $556MMay 9, 2023 to Mar 26, 2024
- RAUM · $1.3B to $1.5BMay 9, 2023 to Mar 26, 2024
- Business name · U•• F•••••••• S••••••• I•• to P•••••••• W••••• A•••••••• I•••Mar 28, 2023 to May 5, 2023
- Legal name · U•• F•••••••• S••••••• I•• to P•••••••• W••••• A•••••••• I•••Mar 28, 2023 to May 5, 2023
- Accounts · 5,229 to 5,064Dec 1, 2022 to Mar 28, 2023
- Advisory employees · 6 to 7Dec 1, 2022 to Mar 28, 2023
Signals
10 dated events
- R Jason Hoagland (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- Rachel Koll (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- Teichert Curtis Lamb (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- Curtis Wallace Peterson (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- Marie Katherine Secrest (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- N Jesse Spencer (Director) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••Mar 26, 2024 · Control person joined · fact
- M Ryan Bladen (Executive Vice President) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••May 5, 2023 · Control person joined · fact
- Allen Eric Halvorsen (Executive Vice President) appeared on Schedule A of P•••••••• W••••• A•••••••• I•••May 5, 2023 · Control person joined · fact
- C••• E•••••• K••••• left P•••••••• W••••• A•••••••• I••• for A••••••• W••••• A•••••••• L•• (registered 2022-04-12)Apr 5, 2022 · Advisor changed firm · fact
- P•••••••• W••••• A•••••••• I••• reported RAUM $816.4M, up 26% from $649.0M (2017-04-26 to 2018-01-30)Jan 30, 2018 · RAUM change · derived
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
- Business email
- info@pwa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-747-0800reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P••••••••-WEALTH-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-747-0800reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- pwa.org/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pwa.org/team-member-01/jeffrey-d-zesigerreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $223Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026