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• F••••••••
Legal name A• F••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Mar 6, 2012 · 20 filings
SEC status approved since Apr 19, 2006
RAUM
$103M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
82%
$84.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$103M as of Feb 20, 2026
Mar 6, 2012$90.5M then
HNW client RAUM$19.2M as of Feb 20, 2026
Jan 25, 2018$60.0M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Mar 6, 20120 then
Employees (5.A)2 as of Feb 20, 2026
Mar 28, 20132 then
Private funds: no history
RAUM -1.8% over the last fiscal year-0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $51.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $234,612derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $4.8M, 113 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$65.6M63%
- High-net-worth individuals$19.2M19%
- Charitable organizations$10.9M11%
- Pension and profit-sharing plans$6.9M6.7%
- Corporations and businesses$836,3030.8%
- Individual clients
- 163reported
- HNW clients
- 12reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 441reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 113 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• B•••• G••••• | Salt Lake City, Ut | Apr 19, 2006 | 27 y | 3 |
| G•••••• I••••• O•• | Salt Lake City, Ut | Sep 25, 2008 | 20 y | 2 |
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
none on the tape
Joined, latest
- G•••••• I••••• O•• from M••••• S•••••• • C•• L••Sep 25, 2008 · Other
- A•••• B•••• G••••• from G• F•••••••• G••••• L••Apr 19, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A••••• B•••• · Managing Member/Chief Compliance Officercontrolsince 03/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
What changed
consecutive filings, newest first
- RAUM · $105M to $103MFeb 27, 2025 to Feb 20, 2026
- Accounts · 418 to 441Feb 27, 2025 to Feb 20, 2026
- HNW clients · 13 to 12Feb 27, 2025 to Feb 20, 2026
- Individual clients · 159 to 163Feb 27, 2025 to Feb 20, 2026
- Pension plan clients · unset to 13.0Feb 27, 2025 to Feb 20, 2026
- Assets in custody · $32.2M to $4.8MFeb 27, 2025 to Feb 20, 2026
- Discretionary RAUM · $105M to $103MFeb 27, 2025 to Feb 20, 2026
- HNW RAUM · $21.8M to $19.2MFeb 27, 2025 to Feb 20, 2026
- Individual RAUM · $67.1M to $65.6MFeb 27, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $438,901 to $526,764Feb 27, 2025 to Feb 20, 2026
- Pension RAUM · $4.4M to $6.9MFeb 27, 2025 to Feb 20, 2026
- Accounts · 188 to 418Mar 7, 2024 to Feb 27, 2025
- Business name · A• F••••••••• L•• to A• F••••••••Mar 7, 2024 to Feb 27, 2025
- HNW clients · 31 to 13Mar 7, 2024 to Feb 27, 2025
- Individual clients · 153 to 159Mar 7, 2024 to Feb 27, 2025
- Assets in custody · $26.3M to $32.2MMar 7, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Feb 27, 2025
- Discretionary RAUM · $105M to $105MMar 7, 2024 to Feb 27, 2025
- HNW RAUM · $56.1M to $21.8MMar 7, 2024 to Feb 27, 2025
- Individual RAUM · $40.3M to $67.1MMar 7, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $766,470 to $438,901Mar 7, 2024 to Feb 27, 2025
- Pension RAUM · $646,900 to $4.4MMar 7, 2024 to Feb 27, 2025
- RAUM · $105M to $105MMar 7, 2024 to Feb 27, 2025
- Accounts · 191 to 188Oct 30, 2023 to Mar 7, 2024
- HNW clients · 25 to 31Oct 30, 2023 to Mar 7, 2024
- Individual clients · 156 to 153Oct 30, 2023 to Mar 7, 2024
- Pooled vehicle clients · 3.0 to unsetOct 30, 2023 to Mar 7, 2024
- Assets in custody · $41.2M to $26.3MOct 30, 2023 to Mar 7, 2024
- Discretionary RAUM · $101M to $105MOct 30, 2023 to Mar 7, 2024
- HNW RAUM · $50.5M to $56.1MOct 30, 2023 to Mar 7, 2024
- Individual RAUM · $44.6M to $40.3MOct 30, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $3.0M to $766,470Oct 30, 2023 to Mar 7, 2024
- Pension RAUM · $4.0M to $646,900Oct 30, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · 1145000.0 to unsetOct 30, 2023 to Mar 7, 2024
- RAUM · $104M to $105MOct 30, 2023 to Mar 7, 2024
- Accounts · 449 to 191Mar 1, 2022 to Mar 13, 2023
- HNW clients · 26 to 25Mar 1, 2022 to Mar 13, 2023
- Individual clients · 211 to 156Mar 1, 2022 to Mar 13, 2023
- Pension plan clients · 7.0 to unsetMar 1, 2022 to Mar 13, 2023
- Pooled vehicle clients · 4 to 3Mar 1, 2022 to Mar 13, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 480-656-2850reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-990-3469reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-990-3470reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-990-3470reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.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
- $51.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026