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
D•••••• A•••••••
Legal name A••••• W••••• A•••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Feb 1, 2019 · 49 filings
SEC status approved since Mar 4, 2019
RAUM
$504M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$484M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$63.0M
derived; firm RAUM over IAPD count
Employees
24
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$504M as of Jun 29, 2026
Mar 23, 2020$191M then
HNW client RAUM$379M as of Jun 29, 2026
Mar 23, 2020$145M then
State-registered IARs (5.B.3)9 as of Jun 29, 2026
Mar 23, 20209 then
Employees (5.A)24 as of Jun 29, 2026
Mar 23, 202025 then
Private funds: no history
RAUM +9.1% over the last fiscal year+17% a year over threeIARs 9 to 9offices 2 to 1
Practice profile
derived from the filing of Jun 29, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $180,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 768reportedItem 5.H
- Wrap fee program
- $312,486reportedItem 5.I
- Custody
- $118M, 417 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$379M75%
- Individuals$105M21%
- Pension and profit-sharing plans$19.3M3.8%
- Charitable organizations$695,4950.1%
- Corporations and businesses$193,1590.0%
- Individual clients
- 585reported
- HNW clients
- 167reported
- Pension plan clients
- 12reported
- Charitable clients
- 3reported
- Accounts
- 2,798reported
- Financial planning clients
- 768reported
- Wrap fee programs
- $267,975 sponsored, $223,463 managedreported
- Custody of client assets
- $118M for 417 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• J• H•••••Certified Financial Planner, Chartered Financial Consultant | Salt Lake City, Ut | May 19, 2009 | 21 y | 1 |
| W•••••• W••• G••••••• | Salt Lake City, Ut | Mar 1, 2018 | 11 y | 0 |
| M•••••• W••••• M••••••Certified Financial Planner | Salt Lake City, Ut | Sep 4, 2018 | 13 y | 1 |
| J••• D•••• E••Certified Financial Planner | Salt Lake City, Ut | Nov 18, 2019 | 11 y | 0 |
| T••••• K•••• S•••••••••Certified Financial Planner | Salt Lake City, Ut | Sep 9, 2021 | 17 y | 0 |
| L••••• A••••• K•••• | Salt Lake City, Ut | Nov 13, 2023 | 10 y | 0 |
| R•••• D•••••••Chartered Financial Analyst | Salt Lake City, Ut | Jun 11, 2024 | 12 y | 0 |
| S••• M• G•••••••Certified Financial Planner | Salt Lake City, Ut | Mar 21, 2025 | 11 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 headcount3 left over 36 months
Left, latest
- J••••• A•••••• H••••• to D•••••• W•••••Jul 8, 2025 · RIA to RIA
- J••••• P••••• N••••• to L•• F•••••••• L••Jan 8, 2025 · RIA to affiliated broker-dealer or bank
- V••••••• E• F••••••• to N•••••••• I••••••••• A••••••• L••Oct 15, 2024 · Other
- A••••• B•••••• to V••••••• A•••••••• I•••Jul 11, 2023 · RIA to affiliated broker-dealer or bank
- A••• N••••• M••••• to F••••••••Apr 27, 2023 · RIA to RIA
- J••••• M•••••• R••••• to B••••• T• W••••• L••Dec 31, 2021 · RIA to a state-registered adviser
- C••• J•• M••••• to B•••• • A••••••••• I•••Jul 29, 2021 · RIA to RIA
- K•••••• E••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jul 15, 2021 · RIA to affiliated broker-dealer or bank
- J•••• A••••• M••••• to N•••••••• I••••••••• A••••••• L••Jan 8, 2021 · RIA to a newly registered adviser
- E••• R•• F•••••• to M••••• S••••••Jan 30, 2019 · RIA to wirehouse
- C••• E•••••• K••••• to P•••••••• W••••• A•••••••• I•••Oct 25, 2018 · RIA to RIA
- N••••• T••••• D••••• to E•••••• F•••••••• E••••••Jun 19, 2018 · RIA to RIA
Joined, latest
- S••• M• G••••••• from L•••••••• P••••••• S•••••••• L••Mar 21, 2025 · Other
- V••••••• E• F••••••• from S•••• A••••••• L••••••Jun 2, 2023 · Other
- A••••• B•••••• from V••••••• A•••••••• I•••Jul 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• A••••• M••••• from L•••••••• P••••••• S•••••••• L••Aug 31, 2020 · Other
- K•••••• E••••••• from P•• W••••• M•••••••••Apr 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••• A•••••• H••••• from S•••• F•••••••• P•••••••• I•••Jan 2, 2020 · Other
- E••• R•• F•••••• from C•••••• S••••• • C••• I•••Jan 9, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••• J•• M••••• from W••• W••••• M••••••••• S•••••••• I•••Nov 9, 2018 · Other
- C••• E•••••• K••••• from P•••••••• W••••• A•••••••• I•••Sep 10, 2018 · RIA to RIA
- M•••••• W••••• M•••••• from S•••••••• A••••••• L••Sep 4, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•••• J• H••••• from W••••••• F•••••••• S•••••••• I•••May 19, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•••••••• P••••••• S•••••••• L••Jun 7, 2018 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••• P••• · Managing Partnercontrolsince 06/2018 · owns less than 5%
- H•••••• R••••• J• · Chairman, Foundercontrolsince 02/2009 · owns less than 5%
- M••••••• M••••••• W••••• · Managing Partner/Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- H•••••• R••••• J• · President, Shareholdercontrolsince 02/2009 · owns 75% or more of R• F••••••••• I•••
Entity owners
- A••••• H•••••••• L•• · Memberdirect · owns 75% or more
- R• F••••••••• I••• · Memberindirect · owns 25% to 50% of A••••• H•••••••• L••
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 | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jun 29, 2026employees per registered advisor of 3.0 against a peer median of 1.4 (950 comparable advisers, 98.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $500M to $1B (950) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,722 to 2,798Jan 9, 2026 to Mar 31, 2026
- HNW clients · 150 to 167Jan 9, 2026 to Mar 31, 2026
- Individual clients · 578 to 585Jan 9, 2026 to Mar 31, 2026
- Pension plan clients · 18 to 12Jan 9, 2026 to Mar 31, 2026
- Assets in custody · $203M to $118MJan 9, 2026 to Mar 31, 2026
- Employees · 21 to 24Jan 9, 2026 to Mar 31, 2026
- Other offices · 2 to 1Jan 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $462M to $504MJan 9, 2026 to Mar 31, 2026
- HNW RAUM · $348M to $379MJan 9, 2026 to Mar 31, 2026
- Individual RAUM · $90.2M to $105MJan 9, 2026 to Mar 31, 2026
- Pension RAUM · $22.9M to $19.3MJan 9, 2026 to Mar 31, 2026
- RAUM · $462M to $504MJan 9, 2026 to Mar 31, 2026
- Wrap assets (manager) · $12,007 to $223,463Jan 9, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $113,240 to $267,975Jan 9, 2026 to Mar 31, 2026
- Accounts · 2,515 to 2,722Jan 2, 2025 to Mar 19, 2025
- Advisory employees · 7 to 9Jan 2, 2025 to Mar 19, 2025
- HNW clients · 134 to 150Jan 2, 2025 to Mar 19, 2025
- Individual clients · 552 to 578Jan 2, 2025 to Mar 19, 2025
- Assets in custody · $192M to $203MJan 2, 2025 to Mar 19, 2025
- Financial planning clients · 251-500 to More than 500Jan 2, 2025 to Mar 19, 2025
- State-registered IARs · 8 to 9Jan 2, 2025 to Mar 19, 2025
- Discretionary RAUM · $384M to $462MJan 2, 2025 to Mar 19, 2025
- HNW RAUM · $287M to $348MJan 2, 2025 to Mar 19, 2025
- Individual RAUM · $75.6M to $90.2MJan 2, 2025 to Mar 19, 2025
- Pension RAUM · $20.2M to $22.9MJan 2, 2025 to Mar 19, 2025
- RAUM · $384M to $462MJan 2, 2025 to Mar 19, 2025
- Wrap assets (manager) · $48,711 to $12,007Jan 2, 2025 to Mar 19, 2025
- Wrap assets (sponsor) · $56,473 to $113,240Jan 2, 2025 to Mar 19, 2025
- HQ city · SOUTH JORDAN to SALT LAKE CITYNov 19, 2024 to Jan 2, 2025
- Other offices · 1 to 2Oct 22, 2024 to Nov 19, 2024
- Accounts · 2,342 to 2,515Nov 30, 2023 to Mar 22, 2024
- Advisory employees · 8 to 7Nov 30, 2023 to Mar 22, 2024
- HNW clients · 119 to 134Nov 30, 2023 to Mar 22, 2024
- Individual clients · 563 to 552Nov 30, 2023 to Mar 22, 2024
- Assets in custody · $160M to $192MNov 30, 2023 to Mar 22, 2024
- Employees · 20 to 21Nov 30, 2023 to Mar 22, 2024
- State-registered IARs · 9 to 8Nov 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $314M to $384MNov 30, 2023 to Mar 22, 2024
- HNW RAUM · $221M to $287MNov 30, 2023 to Mar 22, 2024
- Individual RAUM · $73.3M to $75.6MNov 30, 2023 to Mar 22, 2024
Signals
9 dated events
- J••••• A•••••• H••••• left D•••••• A••••••• for D•••••• W••••• (registered 2026-01-05)Jul 8, 2025 · Advisor changed firm · fact
- J••••• P••••• N••••• left D•••••• A••••••• for L•• F•••••••• L•• (registered 2025-02-12)Jan 8, 2025 · Advisor changed firm · fact
- V••••••• E• F••••••• left D•••••• A••••••• for N•••••••• I••••••••• A••••••• L•• (registered 2025-01-08)Oct 15, 2024 · Advisor changed firm · fact
- Jacob Rich (Chief Compliance Officer) no longer on Schedule A of D•••••• A••••••• (listed 2023-07-13, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
- A••••• B•••••• left D•••••• A••••••• for V••••••• A•••••••• I••• (registered 2023-07-12)Jul 11, 2023 · Advisor changed firm · fact
- Jacob Rich (Chief Compliance Officer) appeared on Schedule A of D•••••• A•••••••Jun 12, 2023 · Control person joined · fact
- A••• N••••• M••••• left D•••••• A••••••• for Forefront (registered 2025-12-03)Apr 27, 2023 · Advisor changed firm · fact
- Warren Matthew Mulcock (Chief Executive Officer) appeared on Schedule A of D•••••• A•••••••Mar 30, 2023 · Control person joined · fact
- D•••••• A••••••• filed its initial SEC registration (Form ADV)Feb 1, 2019 · 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
- info@dentistadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-454-0434reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 833-337-7526reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/dentist-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-748-1243reportedpublic record, Form ADV, Jun 29, 2026
- Contact form
- dentistadvisors.com/our-team/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dentistadvisors.com/our-teamreportedpublished 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026