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

Trek Financial

Independent wealth managerScottsdale, ArizonaCRD 109376SEC 801-58087websiteIAPD
Legal name Trek Financial, LLC
Latest filing Jul 10, 2026
First filing on the tape Mar 28, 2012 · 102 filings
SEC status approved since Nov 15, 2000
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$2.4B individuals and HNW
Advisors
63
registered through the firm on IAPD
RAUM per advisor
$44.8M
derived; firm RAUM over IAPD count
Employees
55
55 advisory (5.B.1)
Offices
33
beyond the principal office
Private funds
0
reported on Schedule D
History
102 filings and snapshots on the tape
RAUM$2.8B as of Jul 10, 2026
Mar 28, 2012$241M then
HNW client RAUM$1.5B as of Jul 10, 2026
Mar 30, 2018$277M then
State-registered IARs (5.B.3)6 as of Jul 10, 2026
Apr 1, 201316 then
Employees (5.A)55 as of Jul 10, 2026
Apr 1, 201327 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 3 to 6offices 35 to 33
Practice profile
derived from the filing of Jul 10, 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
RAUM per advisor
$44.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$262,286derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
1.9derived34 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program
$576,197reportedItem 5.I
Custody
$182M, 4,933 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.5B53%
  • Individuals$932M33%
  • Pension and profit-sharing plans$196M7.0%
  • Corporations and businesses$107M3.8%
  • Charitable organizations$80.1M2.8%
Individual clients
3,869reported
HNW clients
670reported
Pension plan clients
114reported
Charitable clients
11reported
Accounts
10,768reported
Financial planning clients
101-250reported
Wrap fee programs
$576,197 sponsored, $0 managedreported
Custody of client assets
$182M for 4,933 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.86 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
63 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Stephen Curtis CaptainCertified Financial PlannerScottsdale, Az Jan 1, 200235 y2
Mark Elmer JohnsonBoise, IdSep 3, 200328 y2
David Duncan CarrollScottsdale, AzApr 3, 200838 y7
Benjamin Ryan BimsonDavis, CaNov 10, 200821 y2
Jared Nathan JohnsenScottsdale, Az Jan 12, 200928 y3
Deborah Lynne SopherBellaire, TxOct 4, 201030 y3
David Paul AndersenWest Haven, Ut Nov 27, 201231 y3
Richard Joshua HardmanCertified Financial PlannerSandy, Ut Dec 10, 201313 y1
Kelli Lynn EricksonScottsdale, Az Jan 15, 201433 y0
Clinton Ross BrownCertified Financial Planner, Chartered Financial ConsultantSan Clemente, Ca Mar 4, 201425 y2
Lahn Bart SimmonsMidvale, UtSep 23, 201434 y2
Cynthia Lynn MedinaScottsdale, Az Oct 6, 201433 y0
Denis Richard WheatleySanta Rosa, Ca Mar 31, 201620 y2
Simon Richard Charles WheatleyCertified Financial PlannerScottsdale, Az Mar 31, 201614 y1
Brandon Rex JohnsBoise, Id Oct 28, 201617 y1
Steven Mark ManningSandy, Ut Nov 21, 201612 y0
Evan G MathewScottsdale, Az Jul 27, 201725 y2
Graham Barton McdougalScottsdale, Az Jul 28, 201727 y2
Darcel Dee StuckiSalt Lake City, Ut Aug 17, 201712 y2
John WalkerScottsdale, Az Aug 25, 201714 y2
Rick Harold JonesLake Havasu City, Az Aug 28, 201725 y4
Jolyn WhittakerSpanish Fork, Ut Apr 9, 201823 y0
Richard T KinneyIrmo, Sc Jul 25, 201815 y2
Michael Shannon TrentColumbia, Sc Jul 25, 201820 y4
Dino John LoprestiTroy, Oh Aug 3, 201816 y1
Eric Gary BurstockPersonal Financial SpecialistWinchester, Va Dec 12, 201840 y6
Delmer P HydeChartered Financial ConsultantPleasant Grove, Ut Apr 24, 201939 y1
Chesley Hicken EricksonSalt Lake City, Ut May 13, 201948 y2
Deborah Jean DetrayScottsdale, Az Dec 12, 201944 y4
Martin MuseScottsdale, Az Jan 7, 202010 y0
Peter Michael CymbalakScottsdale, Az Feb 24, 202012 y3
Carolyn McclennyTallahassee, Fl Apr 22, 202022 y0
Mark David WhittakerPersonal Financial SpecialistScottsdale, Az Jun 22, 202042 y4
Kaitlin M DesnoyerAlbuquerque, Nm Nov 2, 202012 y2
Keiko LambertAlbuquerque, Nm Nov 10, 202038 y2
Anthony LoprestiScottsdale, Az May 21, 202115 y0
Tory Dee AndersonVernal, Ut Jun 29, 202113 y0
Caleb CymbalakScottsdale, Az Jul 8, 202110 y0
Gavin Riley SchmittSan Diego, Ca Aug 9, 202116 y0
Kristen Michele ClineCertified Financial PlannerScottsdale, Az Sep 10, 202113 y0
All 63 advisors at Trek Financial
Advisor movement
0 left, 6 joined in 12 months
net +6 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount8 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ryan Benjamin Bimson · Chief Investment Officercontrol
    since 01/2018 · owns 25% to 50%
  • Michael Justin Young · Chief Executive Officercontrol
    since 09/2013 · owns 50% to 75%
  • Edward Thomas Shea · Chief Compliance Officer
    since 04/2017 · owns less than 5%
Related persons
Schedule D 7.A
  • Trek Risk Management
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Scottsdale, Az · principal5970
Tacoma, Wa500
Sandy, Ut400
Boise, Id300
Spanish Fork, Ut310
Mesa, Az200
Middleton, Wi200
Pleasant Grove, Ut200
Salt Lake City, Ut200
San Clemente, Ca210
Santa Rosa, Ca200
Winchester, Va200
Bellaire, Tx200
Davis, Ca200
Defiance, Oh200
Medina, Oh200
Vernal, Ut200
Albuquerque, Nm200
Tallahassee, Fl210
Gilbert, Az100
All 21 offices
Offices
Schedule D 1.F, the 25 largest
  • Sandy, UT6 employees
  • St. George, UT6 employees
  • Tacoma, WA5 employees
  • Phoenix, AZ3 employees
  • Vernal, UT2 employees
  • Winchester, VA2 employees
  • Middleton, WI2 employees
  • Medina, OH2 employees
  • Davis, CA2 employees
  • Boise, ID2 employees
  • Pleasant Grove, UT2 employees
  • Irmo, SC1 employees
  • Lake Havasu City, AZ1 employees
  • Littleton, CO1 employees
  • Midvale, UT1 employees
  • Naples, FL1 employees
  • Redlands, CA1 employees
  • Salt Lake City, UT1 employees
  • San Clemente, CA1 employees
  • Spanish Fork, UT1 employees
  • Tallahassee, FL1 employees
  • Troy, OH1 employees
  • Albuquerque, NM1 employees
  • , 1 employees
  • Bellaire, TX1 employees
What changed
consecutive filings, newest first
  • Accounts · 11,057 to 10,768
    Nov 25, 2025 to Mar 27, 2026
  • Charity clients · 6 to 11
    Nov 25, 2025 to Mar 27, 2026
  • Corporate clients · 8 to 24
    Nov 25, 2025 to Mar 27, 2026
  • HNW clients · 591 to 670
    Nov 25, 2025 to Mar 27, 2026
  • Individual clients · 4,297 to 3,869
    Nov 25, 2025 to Mar 27, 2026
  • Pension plan clients · 133 to 114
    Nov 25, 2025 to Mar 27, 2026
  • Assets in custody · $347M to $182M
    Nov 25, 2025 to Mar 27, 2026
  • Employees · 56 to 55
    Nov 25, 2025 to Mar 27, 2026
  • State-registered IARs · 3 to 6
    Nov 25, 2025 to Mar 27, 2026
  • Discretionary RAUM · $2.5B to $2.8B
    Nov 25, 2025 to Mar 27, 2026
  • HNW RAUM · $1.4B to $1.5B
    Nov 25, 2025 to Mar 27, 2026
  • Individual RAUM · $940M to $932M
    Nov 25, 2025 to Mar 27, 2026
  • Pension RAUM · $184M to $196M
    Nov 25, 2025 to Mar 27, 2026
  • RAUM · $2.5B to $2.8B
    Nov 25, 2025 to Mar 27, 2026
  • Wrap assets (sponsor) · $519,613 to $576,197
    Nov 25, 2025 to Mar 27, 2026
  • Other offices · 34 to 33
    Jul 9, 2025 to Nov 25, 2025
  • Financial planning clients · 101-250 to 101-250
    May 21, 2025 to Jul 9, 2025
  • Other offices · 35 to 34
    May 21, 2025 to Jul 9, 2025
  • Accounts · 4,584 to 11,057
    Mar 27, 2024 to Apr 10, 2025
  • HNW clients · 479 to 591
    Mar 27, 2024 to Apr 10, 2025
  • Individual clients · 3,955 to 4,297
    Mar 27, 2024 to Apr 10, 2025
  • Pension plan clients · 136 to 133
    Mar 27, 2024 to Apr 10, 2025
  • Assets in custody · $15.7M to $347M
    Mar 27, 2024 to Apr 10, 2025
  • Employees · 55 to 56
    Mar 27, 2024 to Apr 10, 2025
  • Other offices · 32 to 35
    Mar 27, 2024 to Apr 10, 2025
  • Discretionary RAUM · $2.3B to $2.5B
    Mar 27, 2024 to Apr 10, 2025
  • HNW RAUM · $1.2B to $1.4B
    Mar 27, 2024 to Apr 10, 2025
  • Individual RAUM · $926M to $940M
    Mar 27, 2024 to Apr 10, 2025
  • Pension RAUM · $150M to $184M
    Mar 27, 2024 to Apr 10, 2025
  • RAUM · $2.3B to $2.5B
    Mar 27, 2024 to Apr 10, 2025
  • Wrap assets (sponsor) · $574,812 to $519,613
    Mar 27, 2024 to Apr 10, 2025
  • Accounts · 9,873 to 4,584
    Feb 27, 2024 to Mar 27, 2024
  • Advisory employees · 52 to 55
    Feb 27, 2024 to Mar 27, 2024
  • Corporate clients · 11 to 8
    Feb 27, 2024 to Mar 27, 2024
  • HNW clients · 396 to 479
    Feb 27, 2024 to Mar 27, 2024
  • Individual clients · 3,684 to 3,955
    Feb 27, 2024 to Mar 27, 2024
  • Pension plan clients · 133 to 136
    Feb 27, 2024 to Mar 27, 2024
  • Assets in custody · $15.0M to $15.7M
    Feb 27, 2024 to Mar 27, 2024
  • Employees · 57 to 55
    Feb 27, 2024 to Mar 27, 2024
  • Insurance-licensed employees · 1 to 0
    Feb 27, 2024 to Mar 27, 2024
Signals
23 dated events
  • Keturah Kay Cox left Trek Financial for Resonant Capital Advisors, Llc (registered 2025-08-07)
    Jun 6, 2025 · Advisor changed firm · fact
  • David Orson Harris left Trek Financial for Statera Wealth Management (registered 2025-02-25)
    May 20, 2025 · Advisor changed firm · fact
  • Jordan Michael Lindsay left Trek Financial for Statera Wealth Management (registered 2025-02-25)
    May 20, 2025 · Advisor changed firm · fact
  • 4 advisors left Trek Financial (ST George, UT) for Statera Wealth Management on the same day
    May 20, 2025 · Team lift-out · derived
  • Cameron Leon Blake left Trek Financial for Statera Wealth Management (registered 2025-02-25)
    May 20, 2025 · Advisor changed firm · fact
  • Anthony James Christensen left Trek Financial for Statera Wealth Management (registered 2025-02-25)
    May 20, 2025 · Advisor changed firm · fact
  • Nicholas Jay Toman left Trek Financial for John F Suby Wealth Management Llc (registered 2025-02-21)
    Feb 18, 2025 · Advisor changed firm · fact
  • George R Denham left Trek Financial for Oneamerica Securities, Inc. (registered 2024-11-13)
    Aug 1, 2024 · Advisor changed firm · fact
  • Joshua Manwaring left Trek Financial for Manwaring Wealth Management (registered 2024-01-01)
    May 7, 2024 · Advisor changed firm · fact
  • Trek Financial reported 3 state-registered advisory representatives, down from 52 (2024-02-27 to 2024-03-27)
    Mar 27, 2024 · Advisor headcount change · derived
  • Rusty Lee Miller left Trek Financial for Aegis Wealth Management, Inc. (registered 2023-08-22)
    Aug 7, 2023 · Advisor changed firm · fact
  • Walter Marvin Wittrock left Trek Financial for Advisor Share Wealth Management, Llc (registered 2023-05-19)
    May 16, 2023 · Advisor changed firm · fact
  • Angela Lee Talbot left Trek Financial for Global Retirement Partners Llc (registered 2023-04-26)
    Mar 6, 2023 · Advisor changed firm · fact
  • Kristi Bartholomew left Trek Financial for Iams Wealth Management, Llc (registered 2023-01-19)
    Jan 12, 2023 · Advisor changed firm · fact
  • Jeremy Orson Dopp left Trek Financial for Iams Wealth Management, Llc (registered 2023-01-12)
    Jan 11, 2023 · Advisor changed firm · fact
  • Trek Financial reported RAUM $1.7B, up 34% from $1.3B (2022-01-07 to 2022-03-22)
    Mar 22, 2022 · RAUM change · derived
  • 2 advisors left Clear Creek Financial Management, LLC (Tacoma, WA) for Trek Financial on the same day
    Jan 4, 2022 · Team lift-out · derived
  • Trek Financial reported RAUM $1.3B, up 27% from $1.0B (2021-03-02 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • G Kevin Bauer (President) no longer on Schedule A of Trek Financial (listed 2020-03-30, absent 2020-06-30)
    Jun 30, 2020 · Control person left · inference
  • Trek Financial reported RAUM $1.0B, up 28% from $796.9M (2019-11-21 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Trek Financial reported 43 state-registered advisory representatives, up from 5 (2019-02-20 to 2019-03-19)
    Mar 19, 2019 · Advisor headcount change · derived
  • Trek Financial reported RAUM $693.0M, up 57% from $441.0M (2018-01-09 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
  • Bcj Capital Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 9, 2018 · Succession (Item 4) · 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
Business phone
208-342-0968reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
208-345-0929reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
801-429-9999reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
linkedin.com/company/10206300reportedpublic record, Form ADV, Sep 17, 2026
Firm profile
linkedin.com/company/10887328reportedpublic record, Form ADV, Sep 17, 2026
Website
trekfp.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(480) 483-1510reportedpublic record, Form ADV, Jul 10, 2026
Contact form
trekfp.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
$44.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026