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
G••••••• W••••• M•••••••••
Legal name G••••••• W••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Jan 17, 2012 · 11 filings
SEC status approved since May 31, 2022
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$58.3M
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
11 filings and snapshots on the tape
RAUM$175M as of Mar 6, 2026
Mar 28, 2012$63.3M then
HNW client RAUM$148M as of Mar 6, 2026
Mar 30, 2023$94.9M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Mar 6, 2026
Mar 30, 20233 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- $58.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $588,595derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $71.4M, 47 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M85%
- Individuals$26.6M15%
- Individual clients
- 87reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 297reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.4M for 47 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| E••• T••• B•••Chartered Financial Consultant | Salt Lake City, Ut | May 28, 2008 | 36 y | 2 |
| B•••• E••• B••••• | Salt Lake City, Ut | Mar 2, 2010 | 32 y | 1 |
| C•••• T••• B•••Certified Financial Planner | Salt Lake City, Ut | Apr 26, 2022 | 11 y | 3 |
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•••• T••• B••• to S•••••••• A••••••• L••Jul 1, 2015 · Other
- J•••• D••••• S••••• to C••••••• P•••••••Jul 29, 2013 · Other
Joined, latest
- C•••• T••• B••• from F••••••• P••••••• A•• W•••••••• A•••••••Apr 26, 2022 · Other
- J•••• D••••• S••••• from C•••••• S••••• • C••• I•••Feb 9, 2012 · Other
- B•••• E••• B••••• from C•••••• S••••• • C••• I•••Mar 2, 2010 · Other
- E••• T••• B••• from C•••••• S••••• • C••• I•••May 28, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• E••• · Managing Membercontrolsince 02/2010 · owns 25% to 50%
- B•••• E•••• T••• · Managing Member/Chief Compliance Officercontrolsince 04/2008 · owns 25% to 50%
- B•••• C••••• T••• · Membersince 04/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
- L••••••••• I••••••••• M••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 6, 2026HNW share of RAUM moved from 16.0% to 85.0% between the annual amendments of 2025-03-26 and 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 344 to 297Dec 24, 2025 to Mar 6, 2026
- HNW clients · 71 to 44Dec 24, 2025 to Mar 6, 2026
- Individual clients · 39 to 87Dec 24, 2025 to Mar 6, 2026
- Insurance-licensed employees · 1 to 0Dec 24, 2025 to Mar 6, 2026
- Financial planning clients · 1-10 to 11-25Dec 24, 2025 to Mar 6, 2026
- Discretionary RAUM · $152M to $175MDec 24, 2025 to Mar 6, 2026
- HNW RAUM · $25.0M to $148MDec 24, 2025 to Mar 6, 2026
- Individual RAUM · $127M to $26.6MDec 24, 2025 to Mar 6, 2026
- RAUM · $152M to $175MDec 24, 2025 to Mar 6, 2026
- Accounts · 248 to 344Mar 28, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- HNW clients · 21 to 71Mar 28, 2024 to Mar 26, 2025
- Individual clients · 67 to 39Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $64.8M to $71.4MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 1-10Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $134M to $152MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $105M to $25.0MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $19.0M to $127MMar 28, 2024 to Mar 26, 2025
- RAUM · $134M to $152MMar 28, 2024 to Mar 26, 2025
- Related adviser · true to falseMar 28, 2024 to Mar 26, 2025
- Accounts · 277 to 248Mar 30, 2023 to Mar 28, 2024
- Charity clients · 0.0 to unsetMar 30, 2023 to Mar 28, 2024
- HNW clients · 45 to 21Mar 30, 2023 to Mar 28, 2024
- Individual clients · 56 to 67Mar 30, 2023 to Mar 28, 2024
- Assets in custody · unset to 64825985.0Mar 30, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 11-25Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $107M to $134MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $94.9M to $105MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $11.8M to $19.0MMar 30, 2023 to Mar 28, 2024
- RAUM · $107M to $134MMar 30, 2023 to Mar 28, 2024
- Accounts · 236 to 277Jun 8, 2022 to Mar 30, 2023
- HNW clients · 31 to 45Jun 8, 2022 to Mar 30, 2023
- Individual clients · 53 to 56Jun 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $120M to $107MJun 8, 2022 to Mar 30, 2023
- HNW RAUM · $98.3M to $94.9MJun 8, 2022 to Mar 30, 2023
- Individual RAUM · $21.8M to $11.8MJun 8, 2022 to Mar 30, 2023
- RAUM · $120M to $107MJun 8, 2022 to Mar 30, 2023
- Accounts · 148 to 236May 18, 2012 to Apr 28, 2022
- Advisory employees · unset to 3.0May 18, 2012 to Apr 28, 2022
Signals
1 dated events
- G••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 28, 2022 · 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
- i•••@i••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 385-355-4455reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/guardianwealthslcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.i••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 385-355-4455reportedpublic record, Form ADV, Mar 6, 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
- $58.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026