DFX Intelligence

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S•••• M•••• F••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $313M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $313M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +36%
Private clients: 98% of RAUM, $307M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +36% over the last fiscal year, to $313M.
2026-03-10
RAUM a year earlier $230MRAUM now $313M
RAUM (Item 5.F) moved from $230,019,255 to $313,002,752 (+36.0%) between the annual amendments of 2025-02-11 and 2026-03-10; the peer median change was +15.0% (4548 comparable advisers, 91.0th percentile of changes)
2026-03-10
RAUM (Item 5.F) 313002752Peer median 0.152187099898764
4 published business contact points are on record, each with its source.
Contact points 4

Every filed figure, and the identifiersCRD 122169 · SEC 801-112911 · 15 filingsShow

CRD 122169SEC 801-112911First filing on the tape Mar 23, 2012, latest Mar 10, 2026SEC status approved since Apr 23, 2018IAPD

RAUM

$313M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$307M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$157M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$313M as of Mar 10, 2026

Mar 23, 2012$49.0M then

HNW client RAUM$228M as of Mar 10, 2026

Mar 14, 2019$78.2M then

State-registered IARs (5.B.3)2 as of Mar 10, 2026

Mar 23, 20120 then

Employees (5.A)10 as of Mar 10, 2026

Mar 14, 20196 then

Private funds: no history

RAUM +36% over the last fiscal year+46% a year over threeIARs 3 to 2

Practice profile

derived from the filing of Mar 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
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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $157MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 127derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $310,519derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +36%derivedbetween the last two annual amendments
Advisor growth, one year: -33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$228M73%
Individuals$78.9M25%
Charitable organizations$6.4M2.0%

Individual clients: 160reported
HNW clients: 93reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,008reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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
S•••• C•••• M••••Chartered Financial Consultant	Salt Lake City, Ut	Mar 4, 2002	47 y	0
L••••• M••••	Peoria, Az	Oct 24, 2025	11 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

R••• C• E••••• to E•••••••• H•••• F••••••••
Sep 28, 2021 · RIA to a state-registered adviser

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• S••••• C•••• · Owner, Chief Compliance Officercontrol
since 01/1985 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Mar 10, 2026
RAUM (Item 5.F) moved from $230,019,255 to $313,002,752 (+36.0%) between the annual amendments of 2025-02-11 and 2026-03-10; the peer median change was +15.0% (4548 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 91% percentile
HNW share shiftChange between filings · filing Mar 10, 2026
HNW share of RAUM moved from 48.0% to 73.0% between the annual amendments of 2025-02-11 and 2026-03-10
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 752 to 1,008
Feb 11, 2025 to Mar 10, 2026
Advisory employees · 6 to 2
Feb 11, 2025 to Mar 10, 2026
HNW clients · 71 to 93
Feb 11, 2025 to Mar 10, 2026
Individual clients · 149 to 160
Feb 11, 2025 to Mar 10, 2026
Employees · 11 to 10
Feb 11, 2025 to Mar 10, 2026
State-registered IARs · 3 to 2
Feb 11, 2025 to Mar 10, 2026
Discretionary RAUM · $230M to $313M
Feb 11, 2025 to Mar 10, 2026
HNW RAUM · $110M to $228M
Feb 11, 2025 to Mar 10, 2026
Individual RAUM · $107M to $78.9M
Feb 11, 2025 to Mar 10, 2026
RAUM · $230M to $313M
Feb 11, 2025 to Mar 10, 2026
Accounts · 522 to 752
Feb 16, 2024 to Feb 11, 2025
Advisory employees · 1 to 6
Feb 16, 2024 to Feb 11, 2025
HNW clients · 41 to 71
Feb 16, 2024 to Feb 11, 2025
Individual clients · 128 to 149
Feb 16, 2024 to Feb 11, 2025
Employees · 1 to 11
Feb 16, 2024 to Feb 11, 2025
Financial planning clients · 101-250 to 101-250
Feb 16, 2024 to Feb 11, 2025
HQ city · unset to
Feb 16, 2024 to Feb 11, 2025
HQ state · unset to
Feb 16, 2024 to Feb 11, 2025
State-registered IARs · 1 to 3
Feb 16, 2024 to Feb 11, 2025
Discretionary RAUM · $147M to $230M
Feb 16, 2024 to Feb 11, 2025
HNW RAUM · $91.8M to $110M
Feb 16, 2024 to Feb 11, 2025
Individual RAUM · $53.2M to $107M
Feb 16, 2024 to Feb 11, 2025
Pension RAUM · 1549733.0 to unset
Feb 16, 2024 to Feb 11, 2025
RAUM · $147M to $230M
Feb 16, 2024 to Feb 11, 2025
Accounts · 111 to 522
May 1, 2023 to Feb 16, 2024
Charity clients · 25.0 to unset
May 1, 2023 to Feb 16, 2024
HNW clients · 29 to 41
May 1, 2023 to Feb 16, 2024
Individual clients · 55 to 128
May 1, 2023 to Feb 16, 2024
Financial planning clients · 51-100 to 101-250
May 1, 2023 to Feb 16, 2024
Discretionary RAUM · $101M to $147M
May 1, 2023 to Feb 16, 2024
HNW RAUM · $60.1M to $91.8M
May 1, 2023 to Feb 16, 2024
Individual RAUM · $34.5M to $53.2M
May 1, 2023 to Feb 16, 2024
Pension RAUM · $2.0M to $1.5M
May 1, 2023 to Feb 16, 2024
RAUM · $101M to $147M
May 1, 2023 to Feb 16, 2024
Accounts · 295 to 111
Mar 31, 2022 to Mar 24, 2023
Charity clients · 6 to 25
Mar 31, 2022 to Mar 24, 2023
HNW clients · 170 to 29
Mar 31, 2022 to Mar 24, 2023
Individual clients · 117 to 55
Mar 31, 2022 to Mar 24, 2023
Discretionary RAUM · $99.3M to $101M
Mar 31, 2022 to Mar 24, 2023
HNW RAUM · $76.7M to $60.1M
Mar 31, 2022 to Mar 24, 2023

Signals

3 dated events

••• Locked
Sep 28, 2021 · Control person left · inference
••• Locked
Oct 9, 2020 · Control person joined · fact
••• Locked
Mar 22, 2018 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Team page: ••• Lockedreportedpublished 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: $157Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026