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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Former SEC-registered adviser
R•••• C•••••• M••••••••• L••
Latest filing Feb 6, 2025
First filing on the tape Mar 22, 2012 · 28 filings
SEC status approved since Jun 24, 2005
RAUM
$307M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$307M as of Feb 6, 2025
Mar 22, 2012$137M then
HNW client RAUM$216M as of Feb 6, 2025
Mar 5, 2018$146M then
State-registered IARs (5.B.3)7 as of Feb 6, 2025
Mar 25, 20136 then
Employees (5.A)8 as of Feb 6, 2025
Mar 25, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+4.5% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Feb 6, 2025; every figure names its basis
- RAUM per advisor
- $43.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $852,353derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M70%
- Individuals$75.3M25%
- Corporations and businesses$14.7M4.8%
- Charitable organizations$1.3M0.4%
- Individual clients
- 260reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 360reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C•••• R•••• to M•••• F•••••••• A•••••••May 30, 2025 · RIA to RIA
- J•• A•••••• R•••• to S••May 30, 2025 · Other
- M•••••• L•••• R••• to I••••••••• F•••••••• P•••••••May 30, 2025 · RIA to affiliated broker-dealer or bank
- J•••• H•••••• to M•••• F•••••••• A•••••••May 30, 2025 · RIA to RIA
- C•••••• W••••• F••••• to M•••• F•••••••• A•••••••May 30, 2025 · RIA to RIA
- D•••• B• G•••••• to C•••••• W••••• M••••••••• L••Dec 11, 2014 · Other
- T••• M•••••• N•••••• to C•••••• W••••• M••••••••• L••Dec 11, 2014 · Other
- N•••• K• W•••••••• to C••••••• P•••••••Jul 1, 2011 · Other
- M••• J•••• F••••••••• to S•••••••• A••••••• L••Mar 1, 2010 · Other
- B•••• B•••• to F••••••• B•••••••• S••••••• L••Jan 10, 2005 · Other
Joined, latest
- M•••••• L•••• R••• from C••• C•••• W•••••Jun 23, 2022 · Other
- J•••• H•••••• from T•••••••• F•••••••• S•••••••• I•••Mar 3, 2014 · Other
- N•••• K• W•••••••• from C•••••• S••••• • C••• I•••Aug 3, 2010 · Other
- D•••• B• G•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 14, 2010 · Other
- B•••• B•••• from S•••••••• A••••••• L••Apr 1, 2003 · Other
- C•••• R•••• from S•••••••• A••••••• L••Mar 31, 2003 · Other
- J•• A•••••• R•••• from O•••• P•••••••• S••••••••• L••May 8, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•••• F•••••••• A•••••••May 30, 2025 · American Fork, Ut · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• C••••••• W••••• · Managing Membercontrolsince 03/2005 · owns less than 5%
- R••••• C••••• L•••• · Managing Membercontrolsince 01/2003 · owns less than 5%
- R••••• J••• A•••••• · Managing Membercontrolsince 03/2002 · owns less than 5%
- T•••••••• K•••• R••••• · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- F•••••• C••••••• W••••• · Ownercontrolsince 05/2005 · owns 75% or more of F••••••• I•••
- R••••• C••••• L•••• · Ownercontrolsince 05/2005 · owns 75% or more of V••••• C••••••• I•••
- R••••• J••• A•••••• · Ownercontrolsince 05/2005 · owns 75% or more of A•••• C•••••• A•••••••• I•••
Entity owners
- A•••• C•••••• A•••••••• I••• · Ownerdirect · owns 50% to 75%
- F••••••• I••• · Ownerdirect · owns 10% to 25%
- V••••• C••••••• 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 |
|---|---|---|---|---|---|
| American Fork, Ut · principal | 0 | 0 | 0 | ||
| Orem, Ut | 0 | 0 | 0 | ||
| Pleasant Grove, Ut | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 372 to 360Mar 25, 2024 to Feb 6, 2025
- Advisory employees · 7 to 6Mar 25, 2024 to Feb 6, 2025
- HNW clients · 74 to 96Mar 25, 2024 to Feb 6, 2025
- Individual clients · 292 to 260Mar 25, 2024 to Feb 6, 2025
- Employees · 9 to 8Mar 25, 2024 to Feb 6, 2025
- Financial planning clients · 1-10 to 0Mar 25, 2024 to Feb 6, 2025
- State-registered IARs · 8 to 7Mar 25, 2024 to Feb 6, 2025
- Discretionary RAUM · $275M to $307MMar 25, 2024 to Feb 6, 2025
- HNW RAUM · $163M to $216MMar 25, 2024 to Feb 6, 2025
- Individual RAUM · $97.2M to $75.3MMar 25, 2024 to Feb 6, 2025
- RAUM · $275M to $307MMar 25, 2024 to Feb 6, 2025
- Advisory employees · 6 to 7Feb 2, 2023 to Mar 25, 2024
- HNW clients · 68 to 74Feb 2, 2023 to Mar 25, 2024
- Individual clients · 301 to 292Feb 2, 2023 to Mar 25, 2024
- Employees · 8 to 9Feb 2, 2023 to Mar 25, 2024
- Financial planning clients · 0 to 1-10Feb 2, 2023 to Mar 25, 2024
- State-registered IARs · 7 to 8Feb 2, 2023 to Mar 25, 2024
- Discretionary RAUM · $253M to $275MFeb 2, 2023 to Mar 25, 2024
- HNW RAUM · $148M to $163MFeb 2, 2023 to Mar 25, 2024
- Individual RAUM · $89.2M to $97.2MFeb 2, 2023 to Mar 25, 2024
- RAUM · $253M to $275MFeb 2, 2023 to Mar 25, 2024
- Accounts · 376 to 372Sep 29, 2022 to Feb 2, 2023
- HNW clients · 76 to 68Sep 29, 2022 to Feb 2, 2023
- Individual clients · 297 to 301Sep 29, 2022 to Feb 2, 2023
- Employees · 7 to 8Sep 29, 2022 to Feb 2, 2023
- Discretionary RAUM · $269M to $253MSep 29, 2022 to Feb 2, 2023
- HNW RAUM · $160M to $148MSep 29, 2022 to Feb 2, 2023
- Individual RAUM · $84.5M to $89.2MSep 29, 2022 to Feb 2, 2023
- RAUM · $269M to $253MSep 29, 2022 to Feb 2, 2023
- Accounts · 372 to 376Mar 31, 2021 to Mar 28, 2022
- HNW clients · 68 to 76Mar 31, 2021 to Mar 28, 2022
- Individual clients · 304 to 297Mar 31, 2021 to Mar 28, 2022
- HQ city · PROVO to AMERICAN FORKMar 31, 2021 to Mar 28, 2022
- Discretionary RAUM · $260M to $269MMar 31, 2021 to Mar 28, 2022
- HNW RAUM · $151M to $160MMar 31, 2021 to Mar 28, 2022
- Individual RAUM · $85.7M to $84.5MMar 31, 2021 to Mar 28, 2022
- RAUM · $260M to $269MMar 31, 2021 to Mar 28, 2022
- Advisory activities · 2 to 3Jul 6, 2020 to Mar 31, 2021
- BD registered reps · 3 to 0Jul 6, 2020 to Mar 31, 2021
- HNW clients · 64 to 68Jul 6, 2020 to Mar 31, 2021
Signals
7 dated events
- R•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $306.8M)Jun 2, 2025 · Left the SEC roster · derived
- C•••••• W••••• F••••• left R•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-05-30)May 30, 2025 · Advisor changed firm · fact
- J•• A•••••• R•••• left R•••• C•••••• M••••••••• L•• for Spc (registered 2004-01-27)May 30, 2025 · Advisor changed firm · fact
- C•••• R•••• left R•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-05-30)May 30, 2025 · Advisor changed firm · fact
- R•••• C•••••• M••••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (American Fork, UT): 3 of 5 registered, on the same dayMay 30, 2025 · Firm absorbed (people side) · derived
- J•••• H•••••• left R•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-05-30)May 30, 2025 · Advisor changed firm · fact
- M•••••• L•••• R••• left R•••• C•••••• M••••••••• L•• for I••••••••• F•••••••• P••••••• (registered 2025-06-16)May 30, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026