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.
SEC-registered adviser
Sundvold Financial
Legal name Sundvold Capital Management LLC
Latest filing Mar 13, 2026
First filing on the tape Feb 28, 2012 · 26 filings
SEC status approved since Nov 18, 1999
RAUM
$233M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$233M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$38.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$233M as of Mar 13, 2026
Feb 28, 2012$261M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 13, 2026
Feb 28, 20120 then
Employees (5.A)5 as of Mar 13, 2026
Mar 7, 20138 then
Private funds: no history
RAUM -0.5% over the last fiscal year+13% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $38.8MderivedRAUM 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
- $485,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$233M100%
- Individual clients
- 480reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 480reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jon Thomas Sundvold | Columbia, Mo | Sep 12, 1997 | 37 y | 0 |
| Bryan Ashley England | Columbia, Mo | Jan 24, 2000 | 27 y | 0 |
| Robert O. WeagleyCertified Financial Planner | Columbia , Mo | Jan 24, 2000 | 42 y | 0 |
| Gregory Dean Holloway | Columbia, Mo | Oct 27, 2005 | 36 y | 1 |
| Richard Kevin BartolacciChartered Financial Consultant | Columbia, Mo | Nov 13, 2006 | 31 y | 3 |
| Wilson Sundvold | Columbia, Mo | Jul 20, 2021 | 15 y | 1 |
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 headcount1 left over 36 months
Left, latest
- Joshua Andrews Putnam to Legacy Capital Wealth Partners, LLCJun 16, 2025 · RIA to RIA
- John Andrew Stewart to Waddell & ReedDec 17, 2004 · Other
Joined, latest
- Wilson Sundvold from American Century Investments Private Client Group, Inc.Jul 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Richard Kevin Bartolacci from Securities America Advisors, Inc.Nov 13, 2006 · Other
- Gregory Dean Holloway from Legacy Financial Group, Inc.Oct 27, 2005 · Other
- Joshua Andrews Putnam from Voya Financial Advisors, Inc.Oct 4, 2005 · Other
- John Andrew Stewart from Waddell & ReedJan 30, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Eric Morrison · Presidentcontrolsince 06/2022 · owns less than 5%
- Thomas Jon Sundvold · Ownercontrolsince 10/1997 · owns 75% or more
- Ashley Bryan England · Chief Compliance Officersince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Columbia, Mo · principal | 6 | 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
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 450 to 480Feb 3, 2025 to Mar 13, 2026
- Advisory employees · 6 to 5Feb 3, 2025 to Mar 13, 2026
- Individual clients · 450 to 480Feb 3, 2025 to Mar 13, 2026
- Employees · 6 to 5Feb 3, 2025 to Mar 13, 2026
- State-registered IARs · 6 to 5Feb 3, 2025 to Mar 13, 2026
- Individual RAUM · $234M to $233MFeb 3, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $234M to $233MFeb 3, 2025 to Mar 13, 2026
- RAUM · $234M to $233MFeb 3, 2025 to Mar 13, 2026
- Accounts · 435 to 450Nov 10, 2024 to Feb 3, 2025
- Advisory employees · 7 to 6Nov 10, 2024 to Feb 3, 2025
- Individual clients · 435 to 450Nov 10, 2024 to Feb 3, 2025
- Employees · 8 to 6Nov 10, 2024 to Feb 3, 2025
- Financial planning clients · 251-500 to 251-500Nov 10, 2024 to Feb 3, 2025
- State-registered IARs · 7 to 6Nov 10, 2024 to Feb 3, 2025
- Individual RAUM · $209M to $234MNov 10, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $209M to $234MNov 10, 2024 to Feb 3, 2025
- RAUM · $209M to $234MNov 10, 2024 to Feb 3, 2025
- Individual RAUM · $163M to $209MMar 9, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $163M to $209MMar 9, 2023 to Mar 12, 2024
- RAUM · $163M to $209MMar 9, 2023 to Mar 12, 2024
- Accounts · 430 to 435Mar 9, 2022 to Mar 9, 2023
- Individual clients · 430 to 435Mar 9, 2022 to Mar 9, 2023
- Employees · 9 to 8Mar 9, 2022 to Mar 9, 2023
- Individual RAUM · $167M to $163MMar 9, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $167M to $163MMar 9, 2022 to Mar 9, 2023
- RAUM · $167M to $163MMar 9, 2022 to Mar 9, 2023
- Accounts · 419 to 430Aug 16, 2021 to Mar 9, 2022
- Advisory employees · 6 to 7Aug 16, 2021 to Mar 9, 2022
- Individual clients · 419 to 430Aug 16, 2021 to Mar 9, 2022
- Employees · 8 to 9Aug 16, 2021 to Mar 9, 2022
- State-registered IARs · 6 to 7Aug 16, 2021 to Mar 9, 2022
- Individual RAUM · $135M to $167MAug 16, 2021 to Mar 9, 2022
- Non-discretionary RAUM · $135M to $167MAug 16, 2021 to Mar 9, 2022
- RAUM · $135M to $167MAug 16, 2021 to Mar 9, 2022
- Accounts · 430 to 419Jun 26, 2020 to Feb 8, 2021
- Individual clients · 430 to 419Jun 26, 2020 to Feb 8, 2021
- Individual RAUM · $120M to $135MJun 26, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $120M to $135MJun 26, 2020 to Feb 8, 2021
- RAUM · $120M to $135MJun 26, 2020 to Feb 8, 2021
- Accounts · 411 to 430Jun 16, 2019 to Mar 8, 2020
Signals
3 dated events
- Joshua Andrews Putnam left Sundvold Financial for Legacy Capital Wealth Partners, Llc (registered 2025-06-06)Jun 16, 2025 · Advisor changed firm · fact
- Ray Eric Morrison (President) appeared on Schedule A of Sundvold FinancialMar 9, 2023 · Control person joined · fact
- Sundvold Financial reported RAUM $94.7M, down 76% from $387.0M (2019-03-20 to 2019-06-16)Jun 16, 2019 · 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@sundvold.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 573-443-1000reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- SUNDVOLD.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 573-443-1000reportedpublic record, Form ADV, Mar 13, 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
- $38.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026