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

P••••••• W••••• A•••••••• L••

Independent wealth managerOrem, UtahCRD 146349SEC 801-68917website IAPD

Latest filing Sep 8, 2026

First filing on the tape Mar 5, 2012 · 66 filings

SEC status approved since Mar 13, 2008

RAUM

$830M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

95%

$784M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$59.3M

derived; firm RAUM over IAPD count

Employees

13 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

66 filings and snapshots on the tape

RAUM$830M as of Apr 26, 2026

Mar 5, 2012$69.9M then

HNW client RAUM$492M as of Apr 26, 2026

Feb 7, 2018$86.0M then

State-registered IARs (5.B.3)13 as of Apr 26, 2026

Mar 5, 20120 then

Employees (5.A)13 as of Apr 26, 2026

Apr 12, 20136 then

Private funds: no history

RAUM +20% over the last fiscal year+20% a year over threeIARs 12 to 13

Practice profile

derived from the filing of Sep 8, 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

RAUM per advisor: $59.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $417,345derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.9derivedItem 5.A over advisors
Advisors per office: 14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$492M59%
Individuals$292M35%
Corporations and businesses$22.2M2.7%
Charitable organizations$15.5M1.9%
Pension and profit-sharing plans$7.8M0.9%

Individual clients: 429reported
HNW clients: 224reported
Pension plan clients: 5reported
Charitable clients: 2reported
Accounts: 1,988reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

14 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••• M••••• P•••••••Chartered Financial Consultant	Orem, Ut	Mar 20, 2008	39 y	1
J•••••• D••• L••••••Certified Financial Planner	Orem, Ut	Mar 21, 2013	19 y	0
A•••••••• P•••••••• C•••Certified Financial Planner	Orem, Ut	Oct 15, 2018	12 y	2
C••••• D••• J••••••Certified Financial Planner	Orem, Ut	Jun 30, 2020	10 y	2
D••••• M••• R••••Certified Financial Planner	Orem, Ut	Jul 29, 2020	10 y	0
A••• R••• J••••••	Orem, Ut	Jun 23, 2021	11 y	0
K•••• V••• W•••••Certified Financial Planner	Orem, Ut	Mar 17, 2023	11 y	1
Z•••••• L•• S••••••	Orem, Ut	Mar 17, 2023	11 y	1
K•••••• H•••••••	Orem, Ut	May 23, 2024	13 y	0
J•••••• A••• S•••	Orem, Ut	Oct 29, 2024	12 y	0
A••••• M•••• M•••••••	Orem, Ut	Jul 21, 2025	11 y	0
T••••• G•••• C••••••	Orem, Ut	Oct 14, 2025	11 y	0
S•••• M•••••••••	Orem, Ut	Apr 16, 2026	10 y	0
M•••••• R••••• H••••••	Orem, Ut	Aug 31, 2026	10 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 headcount1 left over 36 months

Left, latest

J••••• M•••••• G•••• to P•••••• A•••••••
Oct 11, 2024 · RIA to RIA
T••••• A••••• L•• to J••• M••••• S••••••••• L••
Jun 9, 2023 · RIA to wirehouse
M••• P••••• W••••••• to R••••••••• A••••• L••
Mar 31, 2023 · RIA to a state-registered adviser
D•••• M•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
Nov 18, 2021 · RIA to affiliated broker-dealer or bank

Joined, latest

K•••• V••• W••••• from F••••••• P••••••• A•• W•••••••• A•••••••
Mar 17, 2023 · Affiliated broker-dealer or bank to independent RIA
Z•••••• L•• S•••••• from P•••••• W••••• M•••••••••
Mar 17, 2023 · RIA to RIA
D•••• M•••••••• from V••••••• A•••••••• I•••
Jun 9, 2021 · Affiliated broker-dealer or bank to independent RIA
C••••• D••• J•••••• from F•••• F•••••••• A•••••••
Jun 30, 2020 · Other
A•••••••• P•••••••• C••• from D•••• W••••• A•••••••
Oct 15, 2018 · RIA to RIA
S•••• M••••• P••••••• from S••••••••• A•••••• A•••••••• I•••
Mar 20, 2008 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••••• S••••• M••••• · Managing Member, Chief Compliance Officercontrol
since 01/2008 · owns 75% or more
C•••• A••••••••• P•••••••• · Member
since 01/2021 · owns 10% to 25%
L••••••• J••••••• D••• · Member
since 01/2018 · owns 10% to 25%

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
Orem, Ut · principal	14	3	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 251-500 to 251-500
Apr 26, 2026 to Sep 8, 2026
Related adviser · false to unset
Apr 26, 2026 to Sep 8, 2026
Related bank · false to unset
Apr 26, 2026 to Sep 8, 2026
Related broker-dealer · false to unset
Apr 26, 2026 to Sep 8, 2026
Related insurance company · false to unset
Apr 26, 2026 to Sep 8, 2026
Succession · false to unset
Apr 26, 2026 to Sep 8, 2026
Advisory employees · 12 to 13
Mar 11, 2026 to Apr 26, 2026
Employees · 12 to 13
Mar 11, 2026 to Apr 26, 2026
State-registered IARs · 12 to 13
Mar 11, 2026 to Apr 26, 2026
Accounts · 1,776 to 1,988
Oct 17, 2025 to Feb 25, 2026
Advisory activities · 3 to 4
Oct 17, 2025 to Feb 25, 2026
Charity clients · 1 to 2
Oct 17, 2025 to Feb 25, 2026
HNW clients · 196 to 224
Oct 17, 2025 to Feb 25, 2026
Individual clients · 414 to 429
Oct 17, 2025 to Feb 25, 2026
Pension plan clients · 7 to 5
Oct 17, 2025 to Feb 25, 2026
Financial planning clients · More than 500 to 251-500
Oct 17, 2025 to Feb 25, 2026
Discretionary RAUM · $689M to $830M
Oct 17, 2025 to Feb 25, 2026
HNW RAUM · $401M to $492M
Oct 17, 2025 to Feb 25, 2026
Individual RAUM · $248M to $292M
Oct 17, 2025 to Feb 25, 2026
Non-discretionary RAUM · $38,206 to $0
Oct 17, 2025 to Feb 25, 2026
Pension RAUM · $6.2M to $7.8M
Oct 17, 2025 to Feb 25, 2026
RAUM · $689M to $830M
Oct 17, 2025 to Feb 25, 2026
Advisory employees · 13 to 12
Jul 31, 2025 to Oct 17, 2025
Employees · 13 to 12
Jul 31, 2025 to Oct 17, 2025
State-registered IARs · 13 to 12
Jul 31, 2025 to Oct 17, 2025
Advisory employees · 12 to 13
Apr 17, 2025 to Jul 31, 2025
Employees · 12 to 13
Apr 17, 2025 to Jul 31, 2025
Financial planning clients · More than 500 to More than 500
Apr 17, 2025 to Jul 31, 2025
State-registered IARs · 12 to 13
Apr 17, 2025 to Jul 31, 2025
Accounts · 1,588 to 1,776
Dec 12, 2024 to Apr 17, 2025
Advisory employees · 10 to 12
Dec 12, 2024 to Apr 17, 2025
Corporate clients · 6 to 7
Dec 12, 2024 to Apr 17, 2025
HNW clients · 403 to 196
Dec 12, 2024 to Apr 17, 2025
Individual clients · 177 to 414
Dec 12, 2024 to Apr 17, 2025
Pension plan clients · 0 to 7
Dec 12, 2024 to Apr 17, 2025
Employees · 10 to 12
Dec 12, 2024 to Apr 17, 2025
State-registered IARs · 10 to 12
Dec 12, 2024 to Apr 17, 2025
Discretionary RAUM · $529M to $689M
Dec 12, 2024 to Apr 17, 2025
HNW RAUM · $332M to $401M
Dec 12, 2024 to Apr 17, 2025
Individual RAUM · $208M to $248M
Dec 12, 2024 to Apr 17, 2025

Signals

4 dated events

J••••• M•••••• G•••• left P••••••• W••••• A•••••••• L•• for P•••••• A••••••• (registered 2024-10-24)
Oct 11, 2024 · Advisor changed firm · fact
T••••• A••••• L•• left P••••••• W••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-08-03)
Jun 9, 2023 · Advisor changed firm · fact
M••• P••••• W••••••• left P••••••• W••••• A•••••••• L•• for R••••••••• A••••• L•• (registered 2023-04-03)
Mar 31, 2023 · Advisor changed firm · fact
P••••••• W••••• A•••••••• L•• reported RAUM $505.5M, up 45% from $349.6M (2022-01-10 to 2022-02-01)
Feb 1, 2022 · RAUM change · derived

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: info@petersonwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: speaking@petersonwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 801-225-0000reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/peterson-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
Website: petersonwealth.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 801-225-0000reportedpublic record, Form ADV, Sep 8, 2026
Team page: petersonwealth.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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: $59.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026