DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••• • P••••• F•••••••• S•••••••• L••

Independent wealth managerElko, NevadaCRD 130189SEC 801-121309website IAPD

Latest filing Mar 17, 2026

First filing on the tape Apr 26, 2021 · 9 filings

SEC status approved since May 26, 2021

RAUM

$160M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$153M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$53.2M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$160M as of Mar 17, 2026

Feb 28, 2022$123M then

HNW client RAUM$95.1M as of Mar 17, 2026

Feb 28, 2022$58.4M then

State-registered IARs (5.B.3)3 as of Mar 17, 2026

Feb 28, 20226 then

Employees (5.A)3 as of Mar 17, 2026

Feb 28, 20226 then

Private funds: no history

RAUM +8.9% over the last fiscal year+12% a year over threeIARs 6 to 3

Practice profile

derived from the filing of Mar 17, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $53.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 176derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $248,736derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +8.9%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.5%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program: $107MreportedItem 5.I
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$95.1M60%
Individuals$58.3M37%
Charitable organizations$6.2M3.9%

Individual clients: 473reported
HNW clients: 56reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 642reported
Financial planning clients: 0reported
Wrap fee programs: $107M sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
E••• L••• W••••••	Elko, Nv	Nov 12, 2025	20 y	0
D•••• B• R•••	Elko, Nv	Nov 13, 2025	25 y	2
N••• S•••••• K••••••	Elko, Nv	Nov 18, 2025	37 y	0

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

D•••• B• R••• from W•••• F•••• A•••••••
Nov 13, 2025 · Wirehouse to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• N•••• S•••••• · Managing Membercontrol
since 01/2014 · owns 50% to 75%
W••••••• E•••• L••• · Ccocontrol
since 05/2022 · owns less than 5%
W••••••• E•••• L••• · Owner, Ccocontrol
since 01/2021 · owns 75% or more of E••• W•••••• L••

Entity owners

E••• W•••••• L•• · Limited Liability Company
direct · owns 50% to 75%

Related persons

Schedule D 7.A

R••• • P••••• L••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Elko, Nv · principal	3	3	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

advisor count dropChange between filings · filing Mar 17, 2026
advisory representatives (Item 5.B.3) moved from 6.0 to 3.0 (-50.0%) between the annual amendments of 2025-03-21 and 2026-03-17; the peer median change was 0.0% (965 comparable advisers, 2.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (965) · 1.7% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 598 to 642
Mar 21, 2025 to Mar 17, 2026
Advisory employees · 6 to 3
Mar 21, 2025 to Mar 17, 2026
HNW clients · 51 to 56
Mar 21, 2025 to Mar 17, 2026
Individual clients · 465 to 473
Mar 21, 2025 to Mar 17, 2026
Employees · 6 to 3
Mar 21, 2025 to Mar 17, 2026
State-registered IARs · 6 to 3
Mar 21, 2025 to Mar 17, 2026
Discretionary RAUM · $147M to $160M
Mar 21, 2025 to Mar 17, 2026
HNW RAUM · $78.5M to $95.1M
Mar 21, 2025 to Mar 17, 2026
Individual RAUM · $61.9M to $58.3M
Mar 21, 2025 to Mar 17, 2026
RAUM · $147M to $160M
Mar 21, 2025 to Mar 17, 2026
Wrap assets (sponsor) · $90.2M to $107M
Mar 21, 2025 to Mar 17, 2026
Financial planning clients · 0 to 0
Mar 22, 2024 to Mar 21, 2025
Accounts · 601 to 598
Mar 22, 2024 to Mar 21, 2025
HNW clients · 431 to 51
Mar 22, 2024 to Mar 21, 2025
Individual clients · 34 to 465
Mar 22, 2024 to Mar 21, 2025
Discretionary RAUM · $128M to $147M
Mar 22, 2024 to Mar 21, 2025
HNW RAUM · $69.9M to $78.5M
Mar 22, 2024 to Mar 21, 2025
Individual RAUM · $52.6M to $61.9M
Mar 22, 2024 to Mar 21, 2025
RAUM · $128M to $147M
Mar 22, 2024 to Mar 21, 2025
Wrap assets (sponsor) · $0 to $90.2M
Mar 22, 2024 to Mar 21, 2025
Accounts · 582 to 601
Mar 9, 2023 to Mar 22, 2024
HNW clients · 424 to 431
Mar 9, 2023 to Mar 22, 2024
Individual clients · 29 to 34
Mar 9, 2023 to Mar 22, 2024
Discretionary RAUM · $114M to $128M
Mar 9, 2023 to Mar 22, 2024
HNW RAUM · $63.8M to $69.9M
Mar 9, 2023 to Mar 22, 2024
Individual RAUM · $46.2M to $52.6M
Mar 9, 2023 to Mar 22, 2024
RAUM · $114M to $128M
Mar 9, 2023 to Mar 22, 2024
Accounts · 561 to 582
May 20, 2022 to Mar 9, 2023
HNW clients · 36 to 424
May 20, 2022 to Mar 9, 2023
Individual clients · 524 to 29
May 20, 2022 to Mar 9, 2023
Financial planning clients · 1-10 to 0
May 20, 2022 to Mar 9, 2023
Discretionary RAUM · $123M to $114M
May 20, 2022 to Mar 9, 2023
HNW RAUM · $58.4M to $63.8M
May 20, 2022 to Mar 9, 2023
Individual RAUM · $59.6M to $46.2M
May 20, 2022 to Mar 9, 2023
RAUM · $123M to $114M
May 20, 2022 to Mar 9, 2023
Accounts · 538 to 561
Jan 6, 2022 to Feb 28, 2022
Charity clients · unset to 1.0
Jan 6, 2022 to Feb 28, 2022
HNW clients · 31 to 36
Jan 6, 2022 to Feb 28, 2022
Individual clients · 506 to 524
Jan 6, 2022 to Feb 28, 2022
Discretionary RAUM · $112M to $123M
Jan 6, 2022 to Feb 28, 2022

Signals

3 dated events

John Richard Hull (Member) no longer on Schedule A of R••• • P••••• F•••••••• S•••••••• L•• (listed 2022-05-20, absent 2023-03-09)
Mar 9, 2023 · Control person left · inference
L••• E••• W•••••• (Owner) appeared on Schedule A of R••• • P••••• F•••••••• S•••••••• L••
Feb 28, 2022 · Control person joined · fact
R••• • P••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Apr 26, 2021 · 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: c••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 775-738-8441reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 775-753-6083reportedpublished by the firm, firm site, Sep 16, 2026
Website: r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 775-738-4430reportedpublic record, Form ADV, Mar 17, 2026
Contact form: r•••••••••.comreportedpublished 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: $53.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026