DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••• L•
Latest filing Feb 27, 2026
First filing on the tape Apr 17, 2024 · 5 filings
SEC status approved since May 16, 2024
RAUM
$177M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$177M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$177M as of Feb 27, 2026
Feb 13, 2025$152M then
HNW client RAUM$124M as of Feb 27, 2026
Feb 13, 2025$131M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Feb 13, 20252 then
Employees (5.A)3 as of Feb 27, 2026
Feb 13, 20252 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 27, 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
- $59.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $244,472derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +43%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$124M70%
- Individuals$53.1M30%
- Individual clients
- 508reported
- HNW clients
- 120reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 725reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••••• J•• G••••• | St. George, Ut | Aug 27, 2007 | 27 y | 2 |
| H••••• J• G••••• | St. George, Ut | Aug 19, 2021 | 10 y | 0 |
| C•••••• L••• H••••• | St. George, Ut | Jul 30, 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
- C••• W•••••• P••••• to P••••• A••••••• G••••• L••Oct 2, 2009 · Other
Joined, latest
- C••••• J•• G••••• from A•••••• A•••••••• I•••Aug 27, 2007 · Other
- C••• W•••••• P••••• from A•••••• A•••••••• I•••Aug 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C•••••• J•• · Managing Membercontrolsince 01/2006 · owns 75% or more
- G•••••• H•••••• J• · Chief Compliance Officersince 06/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| St George, Ut | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- HNW share shiftChange between filings · filing Feb 27, 2026HNW share of RAUM moved from 86.0% to 70.0% between the annual amendments of 2025-02-13 and 2026-02-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 626 to 725Sep 30, 2025 to Feb 27, 2026
- Advisory employees · 2 to 3Sep 30, 2025 to Feb 27, 2026
- HNW clients · 56 to 120Sep 30, 2025 to Feb 27, 2026
- Individual clients · 384 to 508Sep 30, 2025 to Feb 27, 2026
- Employees · 2 to 3Sep 30, 2025 to Feb 27, 2026
- State-registered IARs · 2 to 3Sep 30, 2025 to Feb 27, 2026
- HNW RAUM · $131M to $124MSep 30, 2025 to Feb 27, 2026
- Individual RAUM · $20.6M to $53.1MSep 30, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $152M to $177MSep 30, 2025 to Feb 27, 2026
- RAUM · $152M to $177MSep 30, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 0May 2, 2025 to Sep 30, 2025
- Accounts · 561 to 626Apr 17, 2024 to Feb 13, 2025
- HNW clients · 101 to 56Apr 17, 2024 to Feb 13, 2025
- Individual clients · 303 to 384Apr 17, 2024 to Feb 13, 2025
- HNW RAUM · $85.3M to $131MApr 17, 2024 to Feb 13, 2025
- Individual RAUM · $39.6M to $20.6MApr 17, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $125M to $152MApr 17, 2024 to Feb 13, 2025
- RAUM · $125M to $152MApr 17, 2024 to Feb 13, 2025
Signals
1 dated events
- P••••••• L• filed its initial SEC registration (Form ADV)Apr 17, 2024 · 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
- p••••••@p••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 435-634-9008reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 435-634-9008reportedpublic record, Form ADV, Feb 27, 2026
- Team page
- p••••••.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
- $59.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026