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
T••••• A••••••• I••
Legal name C••••• T••••• I••••••••• A••••••• I••
Latest filing Mar 6, 2026
First filing on the tape Apr 2, 2012 · 19 filings
SEC status approved since Apr 8, 2015
RAUM
$478M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
82%
$392M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$478M as of Mar 6, 2026
Apr 2, 2012$78.0M then
HNW client RAUM$335M as of Mar 6, 2026
Mar 27, 2018$104M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 28, 20160 then
Employees (5.A)6 as of Mar 6, 2026
Mar 28, 20162 then
Private funds: no history
RAUM -23% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 169derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $158M, 168 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$335M70%
- Individuals$56.8M12%
- Pension and profit-sharing plans$43.8M9.2%
- Corporations and businesses$36.4M7.6%
- Charitable organizations$3.6M0.8%
- Insurance companies$1.7M0.4%
- Individual clients
- 231reported
- HNW clients
- 107reported
- Pension plan clients
- 36reported
- Charitable clients
- 5reported
- Accounts
- 395reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 168 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| J•• D•••• T•••••Chartered Financial Analyst | Midvale, Ut | Apr 29, 1999 | 27 y | 0 |
| C••••• D•••••• W•••••• | Salt Lake City, Ut | Sep 30, 2025 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- A••• B••••• T••••• to T••••• F•••••••• G•••• I•••Feb 28, 2025 · RIA to RIA
- K••• M••• B•••• to C••••••• P•••••••Jun 16, 2014 · Other
- C•••••• C•••••• C••••• to S•• C•••••• M••••••••• I•••Dec 4, 2008 · Other
Joined, latest
- C••••• D•••••• W•••••• from G••••••• P••• G••••• A•••••••Sep 30, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• A•••• B••••• · Principal / Chief Compliance Officercontrolsince 01/1998 · owns 50% to 75%
- T•••••• J••• D•••• · Principalcontrolsince 06/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- T••••• A••••••• I••investment advisercustodianyRAUM $478M
Advisers that list T••••• A••••••• I•• as a related person
- 107539 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Midvale, Ut | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 361 to 395Jun 11, 2025 to Mar 6, 2026
- Advisory employees · 3 to 4Jun 11, 2025 to Mar 6, 2026
- Charity clients · 0 to 5Jun 11, 2025 to Mar 6, 2026
- Corporate clients · 13 to 15Jun 11, 2025 to Mar 6, 2026
- HNW clients · 100 to 107Jun 11, 2025 to Mar 6, 2026
- Individual clients · 217 to 231Jun 11, 2025 to Mar 6, 2026
- Pension plan clients · 30 to 36Jun 11, 2025 to Mar 6, 2026
- Assets in custody · $130M to $158MJun 11, 2025 to Mar 6, 2026
- Employees · 5 to 6Jun 11, 2025 to Mar 6, 2026
- Discretionary RAUM · $362M to $450MJun 11, 2025 to Mar 6, 2026
- HNW RAUM · $217M to $335MJun 11, 2025 to Mar 6, 2026
- Individual RAUM · $103M to $56.8MJun 11, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $22.8M to $27.3MJun 11, 2025 to Mar 6, 2026
- Pension RAUM · $37.0M to $43.8MJun 11, 2025 to Mar 6, 2026
- RAUM · $385M to $478MJun 11, 2025 to Mar 6, 2026
- Financial planning clients · 51-100 to 51-100May 27, 2025 to Jun 11, 2025
- Accounts · 478 to 361Feb 27, 2025 to May 27, 2025
- Charity clients · 2 to 0Feb 27, 2025 to May 27, 2025
- Corporate clients · 18 to 13Feb 27, 2025 to May 27, 2025
- HNW clients · 149 to 100Feb 27, 2025 to May 27, 2025
- Individual clients · 273 to 217Feb 27, 2025 to May 27, 2025
- Pension plan clients · 33 to 30Feb 27, 2025 to May 27, 2025
- Assets in custody · $160M to $130MFeb 27, 2025 to May 27, 2025
- Employees · 3 to 5Feb 27, 2025 to May 27, 2025
- Discretionary RAUM · $592M to $362MFeb 27, 2025 to May 27, 2025
- HNW RAUM · $430M to $217MFeb 27, 2025 to May 27, 2025
- Individual RAUM · $99.1M to $103MFeb 27, 2025 to May 27, 2025
- Non-discretionary RAUM · $26.7M to $22.8MFeb 27, 2025 to May 27, 2025
- Pension RAUM · $41.7M to $37.0MFeb 27, 2025 to May 27, 2025
- RAUM · $619M to $385MFeb 27, 2025 to May 27, 2025
- Accounts · 393 to 478Mar 29, 2024 to Feb 27, 2025
- Corporate clients · 13 to 18Mar 29, 2024 to Feb 27, 2025
- HNW clients · 111 to 149Mar 29, 2024 to Feb 27, 2025
- Individual clients · 236 to 273Mar 29, 2024 to Feb 27, 2025
- Pension plan clients · 28 to 33Mar 29, 2024 to Feb 27, 2025
- Assets in custody · $119M to $160MMar 29, 2024 to Feb 27, 2025
- Discretionary RAUM · $419M to $592MMar 29, 2024 to Feb 27, 2025
- HNW RAUM · $302M to $430MMar 29, 2024 to Feb 27, 2025
- Individual RAUM · $78.4M to $99.1MMar 29, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $2.7M to $26.7MMar 29, 2024 to Feb 27, 2025
Signals
4 dated events
- T••••• A••••••• I•• reported RAUM $385.0M, down 38% from $619.0M (2025-02-27 to 2025-05-27)May 27, 2025 · RAUM change · derived
- A••• B••••• T••••• left T••••• A••••••• I•• for T••••• F•••••••• G•••• I••• (registered 2025-03-03)Feb 28, 2025 · Advisor changed firm · fact
- T••••• A••••••• I•• reported RAUM $619.0M, up 47% from $421.3M (2024-03-29 to 2025-02-27)Feb 27, 2025 · RAUM change · derived
- T••••• A••••••• I•• filed its initial SEC registration (Form ADV)Mar 30, 2015 · First SEC registration · 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
- H••••://WWW.C•••••T•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-352-8166reportedpublic record, Form ADV, Mar 6, 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
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026