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
A••••••• W•••••• L••
Latest filing Feb 19, 2026
First filing on the tape Sep 18, 2017 · 31 filings
SEC status approved since Oct 19, 2017
RAUM
$378M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
75%
$282M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$75.6M
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
31 filings and snapshots on the tape
RAUM$378M as of Feb 19, 2026
Feb 6, 2018$138M then
HNW client RAUM$190M as of Feb 19, 2026
Feb 6, 2018$80.0M then
State-registered IARs (5.B.3)5 as of Feb 19, 2026
Feb 6, 20184 then
Employees (5.A)5 as of Feb 19, 2026
Feb 6, 20184 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 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
- 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
- $75.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $433,698derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- buys or sells securities as principal to or from clients (8.A.2)
- 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$190M50%
- Individuals$91.9M24%
- Pension and profit-sharing plans$79.4M21%
- Corporations and businesses$16.0M4.2%
- Individual clients
- 192reported
- HNW clients
- 78reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 871reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.21 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••• T••••• | South Jordan, Ut | May 30, 2002 | 30 y | 1 |
| T••• P•••••• M••••••••Chartered Financial Consultant | South Jordan, Ut | Jan 4, 2011 | 31 y | 1 |
| R••••• M•••••• W•••• | South Jordan, Ut | May 31, 2013 | 13 y | 0 |
| P•••• M• F••••••••Certified Financial Planner | South Jordan, Ut | Sep 11, 2020 | 19 y | 5 |
| A••••• C••• M•••••••• | South Jordan, Ut | Aug 5, 2022 | 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 headcount2 left over 36 months
Left, latest
- B•••• R• J•••••• to L•• F•••••••• L••Dec 14, 2023 · RIA to affiliated broker-dealer or bank
- B•••• R••••••• J•••••• to L•• F•••••••• L••Dec 14, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- P•••• M• F•••••••• from F•• S••••••••• C•••••••••Sep 11, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••• R• J•••••• from S•••••••• A••••••• L••May 10, 2018 · Affiliated broker-dealer or bank to independent RIA
- B•••• R••••••• J•••••• from L•• F•••••••• I•••Aug 7, 2012 · Other
- T••• P•••••• M•••••••• from S•••• H••• A••••••• S••••••• I•••Jan 4, 2011 · Other
- R••••• S•••• T••••• from S•••• H••• A••••••• S••••••• I•••Jan 4, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Dec 14, 2023 · South Jordan, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• T•••• P•••••• · Principal And Chief Compliance Officercontrolsince 03/2008 · owns less than 5%
- M••••••••• T•••• P•••••• · Ownercontrolsince 03/2008 · owns 75% or more of T••• P• M•••••••• F••••••••• I•••
- T•••••• R•••••• S•••• · Ownercontrolsince 03/2008 · owns 75% or more of R•• C••••••••• I•••
- W••••• R•••••• M•••••• · Ownercontrolsince 01/2023 · owns 75% or more of R••••• M• W•••• F••••••••• L••
Entity owners
- R••••• M• W•••• F••••••••• L•• · Ownerdirect · owns 25% to 50%
- R•• C••••••••• I••• · Ownerdirect · owns 25% to 50%
- T••• P• M•••••••• F••••••••• I••• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| South Jordan, Ut · principal | 5 | 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 Feb 19, 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 · 836 to 871Feb 26, 2025 to Feb 19, 2026
- Corporate clients · 3 to 2Feb 26, 2025 to Feb 19, 2026
- HNW clients · 70 to 78Feb 26, 2025 to Feb 19, 2026
- Individual clients · 197 to 192Feb 26, 2025 to Feb 19, 2026
- Pension plan clients · 37 to 28Feb 26, 2025 to Feb 19, 2026
- Financial planning clients · 1-10 to 0Feb 26, 2025 to Feb 19, 2026
- HNW RAUM · $141M to $190MFeb 26, 2025 to Feb 19, 2026
- Individual RAUM · $72.9M to $91.9MFeb 26, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $326M to $378MFeb 26, 2025 to Feb 19, 2026
- Pension RAUM · $99.5M to $79.4MFeb 26, 2025 to Feb 19, 2026
- RAUM · $326M to $378MFeb 26, 2025 to Feb 19, 2026
- Accounts · 823 to 836Mar 7, 2024 to Feb 26, 2025
- Advisory employees · 6 to 5Mar 7, 2024 to Feb 26, 2025
- BD registered reps · 6 to 5Mar 7, 2024 to Feb 26, 2025
- Corporate clients · 2 to 3Mar 7, 2024 to Feb 26, 2025
- HNW clients · 61 to 70Mar 7, 2024 to Feb 26, 2025
- Individual clients · 227 to 197Mar 7, 2024 to Feb 26, 2025
- Pension plan clients · 41 to 37Mar 7, 2024 to Feb 26, 2025
- Employees · 9 to 5Mar 7, 2024 to Feb 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 7, 2024 to Feb 26, 2025
- HNW RAUM · $131M to $141MMar 7, 2024 to Feb 26, 2025
- Individual RAUM · $76.4M to $72.9MMar 7, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $288M to $326MMar 7, 2024 to Feb 26, 2025
- Pension RAUM · $80.4M to $99.5MMar 7, 2024 to Feb 26, 2025
- RAUM · $288M to $326MMar 7, 2024 to Feb 26, 2025
- Accounts · 739 to 823Feb 17, 2023 to Mar 7, 2024
- Advisory employees · 7 to 6Feb 17, 2023 to Mar 7, 2024
- BD registered reps · 7 to 6Feb 17, 2023 to Mar 7, 2024
- HNW clients · 74 to 61Feb 17, 2023 to Mar 7, 2024
- Individual clients · 205 to 227Feb 17, 2023 to Mar 7, 2024
- Pension plan clients · 37 to 41Feb 17, 2023 to Mar 7, 2024
- Employees · 7 to 9Feb 17, 2023 to Mar 7, 2024
- State-registered IARs · 7 to 5Feb 17, 2023 to Mar 7, 2024
- HNW RAUM · $145M to $131MFeb 17, 2023 to Mar 7, 2024
- Individual RAUM · $47.7M to $76.4MFeb 17, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $247M to $288MFeb 17, 2023 to Mar 7, 2024
- Pension RAUM · $53.9M to $80.4MFeb 17, 2023 to Mar 7, 2024
- RAUM · $247M to $288MFeb 17, 2023 to Mar 7, 2024
- Related broker-dealer · false to trueFeb 17, 2023 to Mar 7, 2024
- Accounts · 299 to 739Nov 3, 2022 to Feb 17, 2023
Signals
5 dated events
- B•••• R• J•••••• left A••••••• W•••••• L•• for L•• F•••••••• L•• (registered 2023-12-06)Dec 14, 2023 · Advisor changed firm · fact
- B•••• R••••••• J•••••• left A••••••• W•••••• L•• for L•• F•••••••• L•• (registered 2023-12-06)Dec 14, 2023 · Advisor changed firm · fact
- 2 advisors left A••••••• W•••••• L•• (South Jordan, UT) for L•• F•••••••• L•• on the same dayDec 14, 2023 · Team lift-out · derived
- Matthew Robert Woods (Owner) appeared on Schedule A of A••••••• W•••••• L••Feb 17, 2023 · Control person joined · fact
- A••••••• • E•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 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 phone
- 801-428-1598reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-364-4400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/71054874reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-364-4400reportedpublic record, Form ADV, Feb 19, 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
- $75.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026