DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Provo, Utah

Former SEC-registered adviser, based in Provo, Utah, reporting $379M of regulatory assets.

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

Last reported RAUM
$379M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+26%
Form ADV, consecutive annual filings
Private clients
83% of RAUM, $313M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 123497 · SEC 801-64348 · 12 filingsShow
CRD 123497SEC 801-64348First filing on the tape Feb 22, 2012, latest Feb 26, 2020IAPD
RAUM
$379M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
83%
$313M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$379M as of Feb 26, 2020
Feb 22, 2012$198M then
HNW client RAUM$301M as of Feb 26, 2020
Mar 19, 2018$259M then
State-registered IARs (5.B.3)2 as of Feb 26, 2020
Mar 4, 20132 then
Employees (5.A)7 as of Feb 26, 2020
Mar 4, 20135 then
Private funds: no history
RAUM +26% over the last fiscal year+3.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 26, 2020; every figure names its basis
RAUM per advisor
$190MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%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
Wrap fee program
participatesreportedItem 5.I
Custody
$31.4M, 9 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$301M79%
  • Pension and profit-sharing plans$47.9M13%
  • Charitable organizations$18.4M4.8%
  • Individuals$12.4M3.3%
Individual clients
47reported
HNW clients
70reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
300reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $264M managedreported
Custody of client assets
$31.4M for 9 clientsreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• J••••• D•••• · Manager And Chief Compliance Officercontrol
      since 01/1998 · 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.
    What changed
    consecutive filings, newest first
    • Accounts · 281 to 300
      Oct 17, 2019 to Feb 26, 2020
    • HNW clients · 71 to 70
      Oct 17, 2019 to Feb 26, 2020
    • Individual clients · 41 to 47
      Oct 17, 2019 to Feb 26, 2020
    • Assets in custody · unset to 31359140.0
      Oct 17, 2019 to Feb 26, 2020
    • Custody of client assets · false to true
      Oct 17, 2019 to Feb 26, 2020
    • Discretionary RAUM · $129M to $200M
      Oct 17, 2019 to Feb 26, 2020
    • HNW RAUM · $242M to $301M
      Oct 17, 2019 to Feb 26, 2020
    • Individual RAUM · $9.3M to $12.4M
      Oct 17, 2019 to Feb 26, 2020
    • Non-discretionary RAUM · $172M to $179M
      Oct 17, 2019 to Feb 26, 2020
    • Pension RAUM · $39.3M to $47.9M
      Oct 17, 2019 to Feb 26, 2020
    • RAUM · $301M to $379M
      Oct 17, 2019 to Feb 26, 2020
    • Wrap assets (manager) · $297M to $264M
      Oct 17, 2019 to Feb 26, 2020
    • Wrap assets (manager) · unset to 297144623.0
      Mar 27, 2019 to Oct 17, 2019
    • Wrap assets (sponsor) · unset to 0.0
      Mar 27, 2019 to Oct 17, 2019
    • Accounts · 304 to 281
      Mar 19, 2018 to Mar 27, 2019
    • HNW clients · 83 to 71
      Mar 19, 2018 to Mar 27, 2019
    • Individual clients · 38 to 41
      Mar 19, 2018 to Mar 27, 2019
    • Other offices · 1 to 0
      Mar 19, 2018 to Mar 27, 2019
    • Discretionary RAUM · $124M to $129M
      Mar 19, 2018 to Mar 27, 2019
    • HNW RAUM · $259M to $242M
      Mar 19, 2018 to Mar 27, 2019
    • Individual RAUM · $9.9M to $9.3M
      Mar 19, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $199M to $172M
      Mar 19, 2018 to Mar 27, 2019
    • Pension RAUM · $39.0M to $39.3M
      Mar 19, 2018 to Mar 27, 2019
    • RAUM · $323M to $301M
      Mar 19, 2018 to Mar 27, 2019
    • Wrap assets (manager) · 0.0 to unset
      Mar 19, 2018 to Mar 27, 2019
    • Wrap assets (sponsor) · 0.0 to unset
      Mar 19, 2018 to Mar 27, 2019
    • Accounts · 303 to 304
      Jan 2, 2018 to Mar 19, 2018
    • Other offices · 0 to 1
      Jan 2, 2018 to Mar 19, 2018
    • Discretionary RAUM · $123M to $124M
      Jan 2, 2018 to Mar 19, 2018
    • HNW RAUM · $257M to $259M
      Jan 2, 2018 to Mar 19, 2018
    • Individual RAUM · $9.8M to $9.9M
      Jan 2, 2018 to Mar 19, 2018
    • Non-discretionary RAUM · $198M to $199M
      Jan 2, 2018 to Mar 19, 2018
    • Pension RAUM · $38.6M to $39.0M
      Jan 2, 2018 to Mar 19, 2018
    • RAUM · $321M to $323M
      Jan 2, 2018 to Mar 19, 2018
    • Accounts · 267 to 303
      Mar 23, 2017 to Jan 2, 2018
    • BD registered reps · 2 to 3
      Mar 23, 2017 to Jan 2, 2018
    • Corporate clients · unset to 0.0
      Mar 23, 2017 to Jan 2, 2018
    • HNW clients · unset to 83.0
      Mar 23, 2017 to Jan 2, 2018
    • Individual clients · unset to 38.0
      Mar 23, 2017 to Jan 2, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 23, 2017 to Jan 2, 2018
    Signals
    No event on the tape.
    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