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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Former SEC-registered adviser

S•••••••• W••••• M••••••••• L••

Former SEC-registered adviserPocatello, IdahoCRD 148779SEC 801-81013websiteIAPD
Latest filing Jul 12, 2024
First filing on the tape Mar 16, 2012 · 33 filings
SEC status approved since Mar 2, 2015
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$229M as of Mar 27, 2024
Mar 16, 2012$51.7M then
HNW client RAUM$179M as of Mar 27, 2024
Mar 28, 2018$73.5M then
State-registered IARs (5.B.3)8 as of Mar 27, 2024
Mar 16, 20120 then
Employees (5.A)11 as of Mar 27, 2024
Mar 2, 20165 then
Private funds: 1
RAUM +13% over the last fiscal year+10.0% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jul 12, 2024; every figure names its basis
RAUM per advisor
$28.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$414,085derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Wrap fee program
participatesreportedItem 5.I
Custody
$56.3M, 100 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
  • High-net-worth individuals$179M78%
  • Individuals$50.0M22%
Individual clients
384reported
HNW clients
169reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
553reported
Financial planning clients
500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$56.3M for 100 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••••• C•••••• F••• I• L••Other Private Fund$2.0M15Mar 31, 2023
    Owners and control persons
    Schedule A and B, latest filing
    • E•••••• G•••• C••• · Managing Membercontrol
      since 05/2004 · owns less than 5%
    • P•••••••• J•••• D••••• · Managing Membercontrol
      since 09/2010 · owns less than 5%
    • R••••••• B••••• D•••• · Chief Compliance Officercontrol
      since 05/2004 · owns less than 5%
    • E•••••• G•••• C••• · Co-Trusteecontrol
      since 01/2014 · owns 50% to 75% of E••••• F••••• E••••• T••••
    • P•••••••• J•••• D••••• · Membercontrol
      since 04/2009 · owns 50% to 75% of C••••••••• C•••••• A••••••• L••
    • R••••••• B••••• D•••• · Trusteecontrol
      since 01/2014 · owns 75% or more of R•••••• F••••• E••••• T••••
    • E•••••• S••••••• · Co-Trustee
      since 01/2014 · owns 50% to 75% of E••••• F••••• E••••• T••••
    • P•••••••• H••••• L• · Member
      since 04/2009 · owns 50% to 75% of C••••••••• C•••••• A••••••• L••
    Entity owners
    • C••••••••• C•••••• A••••••• L•• · Member
      direct · owns 10% to 25%
    • P•••••• M••••••••• L•• · Member
      direct · owns 25% to 50%
    • W••••••••• F•••••••• L•• · Member
      direct · owns 25% to 50%
    • E••••• F••••• E••••• T•••• · Controls The E••••• F••••• F••••••• T•••• (A Grantor Trust)
      indirect · owns 75% or more of E••••• F••••• F••••••• T••••
    • E••••• F••••• E••••• T•••• · 1% Owner 100% Has Voting Rights
      indirect · owns F of P•••••• M••••••••• L••
    • E••••• F••••• F••••••• T•••• · 99% Owner, No Voting Rights
      indirect · owns 75% or more of P•••••• M••••••••• L••
    • R•••••• F••••• E••••• T•••• · Controls The R•••••• F••••• F••••••• T••••(A Grantor Trust)
      indirect · owns 75% or more of R•••••• F••••• F••••••• T••••
    • R•••••• F••••• E••••• T•••• · 1 % Owner, 100% Voting Right
      indirect · owns F of W••••••••• F•••••••• L••
    • R•••••• F••••• F••••••• T•••• · 99% Owner, No Voting Rights
      indirect · owns 75% or more of W••••••••• F•••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list S•••••••• W••••• M••••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Pocatello, Id · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 648 to 553
      Nov 28, 2023 to Mar 27, 2024
    • Advisory activities · 3 to 2
      Nov 28, 2023 to Mar 27, 2024
    • Individual clients · 478 to 384
      Nov 28, 2023 to Mar 27, 2024
    • Pooled vehicle clients · 1.0 to unset
      Nov 28, 2023 to Mar 27, 2024
    • Assets in custody · $48.7M to $56.3M
      Nov 28, 2023 to Mar 27, 2024
    • Employees · 10 to 11
      Nov 28, 2023 to Mar 27, 2024
    • Private funds · 1 to unset
      Nov 28, 2023 to Mar 27, 2024
    • Discretionary RAUM · $201M to $229M
      Nov 28, 2023 to Mar 27, 2024
    • HNW RAUM · $160M to $179M
      Nov 28, 2023 to Mar 27, 2024
    • Individual RAUM · $41.5M to $50.0M
      Nov 28, 2023 to Mar 27, 2024
    • Non-discretionary RAUM · $2.0M to $0
      Nov 28, 2023 to Mar 27, 2024
    • Pooled vehicle RAUM · 2000000.0 to unset
      Nov 28, 2023 to Mar 27, 2024
    • RAUM · $203M to $229M
      Nov 28, 2023 to Mar 27, 2024
    • Wrap assets (manager) · unset to 0.0
      Nov 28, 2023 to Mar 27, 2024
    • Wrap assets (sponsor) · unset to 0.0
      Nov 28, 2023 to Mar 27, 2024
    • Insurance-licensed employees · 0 to 3
      Oct 12, 2023 to Nov 28, 2023
    • Assets in custody · $2.0M to $48.7M
      Mar 31, 2023 to Oct 12, 2023
    • Custody of client assets · false to true
      Mar 31, 2023 to Oct 12, 2023
    • Accounts · 634 to 648
      Mar 28, 2022 to Mar 31, 2023
    • Advisory employees · 6 to 8
      Mar 28, 2022 to Mar 31, 2023
    • Advisory activities · 2 to 3
      Mar 28, 2022 to Mar 31, 2023
    • HNW clients · 148 to 169
      Mar 28, 2022 to Mar 31, 2023
    • Individual clients · 486 to 478
      Mar 28, 2022 to Mar 31, 2023
    • Pooled vehicle clients · unset to 1.0
      Mar 28, 2022 to Mar 31, 2023
    • Assets in custody · unset to 2000000.0
      Mar 28, 2022 to Mar 31, 2023
    • State-registered IARs · 6 to 8
      Mar 28, 2022 to Mar 31, 2023
    • Private funds · unset to 1
      Mar 28, 2022 to Mar 31, 2023
    • Discretionary RAUM · $220M to $201M
      Mar 28, 2022 to Mar 31, 2023
    • HNW RAUM · $165M to $160M
      Mar 28, 2022 to Mar 31, 2023
    • Individual RAUM · $55.3M to $41.5M
      Mar 28, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $0 to $2.0M
      Mar 28, 2022 to Mar 31, 2023
    • Pooled vehicle RAUM · unset to 2000000.0
      Mar 28, 2022 to Mar 31, 2023
    • RAUM · $220M to $203M
      Mar 28, 2022 to Mar 31, 2023
    • Accounts · 5,036 to 634
      Mar 13, 2021 to Mar 15, 2022
    • Advisory employees · 5 to 6
      Mar 13, 2021 to Mar 15, 2022
    • HNW clients · 162 to 148
      Mar 13, 2021 to Mar 15, 2022
    • Individual clients · 142 to 486
      Mar 13, 2021 to Mar 15, 2022
    • Employees · 8 to 10
      Mar 13, 2021 to Mar 15, 2022
    • Financial planning clients · 251-500 to More than 500
      Mar 13, 2021 to Mar 15, 2022
    • State-registered IARs · 5 to 6
      Mar 13, 2021 to Mar 15, 2022
    Signals
    14 dated events
    • S•••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $229.0M)
      May 2, 2025 · Left the SEC roster · derived
    • A••••• D••• A••••••• left S•••••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)
      Mar 14, 2025 · Advisor changed firm · fact
    • A••••• W••• S•••••• left S•••••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)
      Mar 14, 2025 · Advisor changed firm · fact
    • 3 advisors left S•••••••• W••••• M••••••••• L•• (Pocatello, ID) for F•••••••• S••••••• L•• on the same day
      Mar 14, 2025 · Team lift-out · derived
    • B•••• D•••• R•••••• left S•••••••• W••••• M••••••••• L•• for F•••••••• S••••••• L•• (registered 2022-01-10)
      Mar 14, 2025 · Advisor changed firm · fact
    • J••• D••••• P••••••• left S•••••••• W••••• M••••••••• L•• for F•••••••• S••••••• L•• (registered 2022-01-10)
      Mar 14, 2025 · Advisor changed firm · fact
    • S•••••••• W••••• M••••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (Pocatello, ID): 4 of 7 registered, on the same day
      Mar 14, 2025 · Firm absorbed (people side) · derived
    • L••••• M••••••• D••••• left S•••••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)
      Mar 14, 2025 · Advisor changed firm · fact
    • T• T••••• G••••• left S•••••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)
      Mar 14, 2025 · Advisor changed firm · fact
    • G••• C••• E••••• left S•••••••• W••••• M••••••••• L•• for F•••••••• S••••••• L•• (registered 2024-05-01)
      Mar 14, 2025 · Advisor changed firm · fact
    • A••••• J•••• C••••• left S•••••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-12-03)
      Nov 29, 2024 · Advisor changed firm · fact
    • E•••••• C••••••• G••••••••• no longer registered at S•••••••• W••••• M••••••••• L••; no later IA registration on IAPD
      Feb 18, 2024 · Advisor departure · fact
    • E•••••• C••••••• G••••••••• left S•••••••• W••••• M••••••••• L•• for F•••••• F••••••••• L•• (registered 2023-04-12)
      Apr 12, 2023 · Advisor changed firm · fact
    • S•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 16, 2015 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026