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
S•••••• L•••• I••
Latest filing Mar 31, 2026
First filing on the tape Apr 3, 2012 · 38 filings
SEC status approved since Feb 7, 2017
RAUM
$334M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$319M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$334M as of Mar 31, 2026
Apr 3, 2012$143M then
HNW client RAUM$308M as of Mar 31, 2026
Apr 4, 2018$160M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 3, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Apr 2, 20135 then
Private funds: no history
RAUM +19% over the last fiscal year+9.7% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 31, 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
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $763,573derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$308M92%
- Pension and profit-sharing plans$15.6M4.7%
- Individuals$10.4M3.1%
- Individual clients
- 13reported
- HNW clients
- 59reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| W•••••• S•••• C•••••••Certified Financial Planner | Salt Lake City, Ut | Feb 28, 2017 | 34 y | 1 |
| N••••••• A••••••••Certified Financial Planner, Chartered Financial Analyst | Salt Lake City, Ut | Jan 26, 2026 | 10 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
- J••••• D•••• S•••• to S••••• W••••• M•••••••••May 7, 2019 · RIA to RIA
Joined, latest
- J••••• D•••• S•••• from J••• M••••• S••••••••• L••Jun 18, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W••••••• S•••• · Chief Executive Officer; Shareholdercontrolsince 12/2000 · owns 75% or more
- A••••••• J••••• P•••••• F• · Chief Compliance Officersince 01/2020 · 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 |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
What changed
consecutive filings, newest first
- Accounts · 419 to 438Aug 12, 2025 to Mar 31, 2026
- HNW clients · 58 to 59Aug 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $298M to $324MAug 12, 2025 to Mar 31, 2026
- HNW RAUM · $281M to $308MAug 12, 2025 to Mar 31, 2026
- Individual RAUM · $9.6M to $10.4MAug 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $10.2M to $10.1MAug 12, 2025 to Mar 31, 2026
- Pension RAUM · $17.3M to $15.6MAug 12, 2025 to Mar 31, 2026
- RAUM · $308M to $334MAug 12, 2025 to Mar 31, 2026
- Accounts · 399 to 419Mar 28, 2025 to Aug 12, 2025
- HNW clients · 60 to 58Mar 28, 2025 to Aug 12, 2025
- Individual clients · 10 to 13Mar 28, 2025 to Aug 12, 2025
- Other offices · 1 to 2Mar 28, 2025 to Aug 12, 2025
- Discretionary RAUM · $272M to $298MMar 28, 2025 to Aug 12, 2025
- HNW RAUM · $259M to $281MMar 28, 2025 to Aug 12, 2025
- Individual RAUM · $7.0M to $9.6MMar 28, 2025 to Aug 12, 2025
- Non-discretionary RAUM · $9.5M to $10.2MMar 28, 2025 to Aug 12, 2025
- Pension RAUM · $15.9M to $17.3MMar 28, 2025 to Aug 12, 2025
- RAUM · $282M to $308MMar 28, 2025 to Aug 12, 2025
- Accounts · 383 to 399Mar 28, 2024 to Mar 28, 2025
- HNW clients · 57 to 60Mar 28, 2024 to Mar 28, 2025
- Individual clients · 14 to 10Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 6 to 5Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $258M to $272MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $235M to $259MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $10.2M to $7.0MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $9.0M to $9.5MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $21.7M to $15.9MMar 28, 2024 to Mar 28, 2025
- RAUM · $267M to $282MMar 28, 2024 to Mar 28, 2025
- Accounts · 362 to 383Mar 31, 2023 to Mar 28, 2024
- HNW clients · 49 to 57Mar 31, 2023 to Mar 28, 2024
- Individual clients · 17 to 14Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 8 to 6Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $247M to $258MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $208M to $235MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $10.8M to $10.2MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.0M to $9.0MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $34.8M to $21.7MMar 31, 2023 to Mar 28, 2024
- RAUM · $254M to $267MMar 31, 2023 to Mar 28, 2024
- Accounts · 351 to 362Mar 31, 2022 to Mar 31, 2023
Signals
1 dated events
- S•••••• L•••• I•• filed its initial SEC registration (Form ADV)Jan 26, 2017 · 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
- Business email
- info@slaytonlewis.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-752-9866reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/slayton-lewisreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••L••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-521-2191reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- slaytonlewis.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- slaytonlewis.com/meet-the-teamreportedpublished 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
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026