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
A•••• W••••• F••••• L••
Latest filing Jun 10, 2026
First filing on the tape Apr 23, 2025 · 5 filings
SEC status approved since Apr 25, 2025
RAUM
$214M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
32%
$67.5M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$19.5M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$214M as of Jun 10, 2026
Apr 23, 2025$119M then
HNW client RAUM$39.2M as of Jun 10, 2026
Apr 23, 2025$24.9M then
State-registered IARs (5.B.3)11 as of Jun 10, 2026
Apr 23, 20258 then
Employees (5.A)11 as of Jun 10, 2026
Apr 23, 20259 then
Private funds5 as of Jun 10, 2026
Apr 23, 20253 then
RAUM +81% over the last fiscal yearIARs 8 to 11
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $19.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $509,518derivedHNW RAUM over HNW clients
- Average account
- $484,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +81%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
- Custody
- $98.2M, 4 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
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$98.2M49%
- High-net-worth individuals$39.2M19%
- Other investment advisers$35.0M17%
- Individuals$28.3M14%
- Charitable organizations$925,6640.5%
- Individual clients
- 197reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 442reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.2M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.32 fund_share=0.62 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• W••••• S•• | Park City, Ut | Apr 14, 2010 | 38 y | 0 |
| C•••• R•••••• T•••••Certified Financial Planner | Park City, Ut | Apr 9, 2018 | 14 y | 2 |
| J•••• L•• B•••• | Park City, Ut | Oct 7, 2021 | 10 y | 2 |
| J••••• V••••• T••••• | Deweyville, Ut | Aug 1, 2023 | 12 y | 0 |
| P•••••• B••• | Park City, Ut | Aug 25, 2023 | 20 y | 0 |
| K•••• G•••• | Sandy, Ut | Jan 8, 2025 | 18 y | 0 |
| A•••• J•••••• S•••••• | Park City, Ut | Feb 20, 2025 | 12 y | 0 |
| C•••••• J•••• T••••• | Chicago, Il | May 2, 2025 | 15 y | 0 |
| K••• R••• M•••• | Chicago, Il | May 5, 2025 | 10 y | 0 |
| D•••••• R••• | Addison, Tx | Feb 24, 2026 | 12 y | 3 |
| E••• Z••••••••Certified Financial Planner | Park City, Ut | Jun 5, 2026 | 11 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- L••• W• H••••• to S•••••••• A••••••• L••Sep 20, 2024 · RIA to affiliated broker-dealer or bank
- K•••• R•••• L••• to B••••••••• W••••• A•••••••• L••Aug 12, 2020 · RIA to RIA
Joined, latest
- E••• Z•••••••• from O•••••••Jun 5, 2026 · RIA to RIA
- D•••••• R••• from A••••••• F••••••••• L•••Feb 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• L•• B•••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- K•••• R•••• L••• from S••••• W••••• M•••••••••Feb 12, 2020 · Other
- C•••• R•••••• T••••• from W•••••••• F•••••••• L••Apr 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• A••••• J•••••• · Ccosince 01/2025 · 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 |
|---|---|---|---|---|---|
| Park City, Ut · principal | 10 | 1 | 0 | ||
| Chicago, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 9, 2026institutional share of RAUM moved from 1.0% to 17.0% between the annual amendments of 2025-04-23 and 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 9, 2026accounts (Item 5.F.2.f) moved from 232.0 to 442.0 (+91.0%) between the annual amendments of 2025-04-23 and 2026-03-09; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- RAUM up 50 %Change between filings · filing Mar 9, 2026RAUM (Item 5.F) moved from $118,515,457 to $214,122,623 (+81.0%) between the annual amendments of 2025-04-23 and 2026-03-09; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
- discretionary share shiftChange between filings · filing Mar 9, 2026discretionary share of RAUM moved from 94.0% to 78.0% between the annual amendments of 2025-04-23 and 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
- private fund count surgeChange between filings · filing Mar 9, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-04-23 and 2026-03-09; the peer median change was 0.0% (126 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (126) · 94% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 11Mar 9, 2026 to Jun 10, 2026
- Employees · 9 to 11Mar 9, 2026 to Jun 10, 2026
- State-registered IARs · 9 to 11Mar 9, 2026 to Jun 10, 2026
- Accounts · 572 to 442Oct 31, 2025 to Mar 9, 2026
- Advisory employees · 7 to 9Oct 31, 2025 to Mar 9, 2026
- Advisory activities · 5 to 6Oct 31, 2025 to Mar 9, 2026
- HNW clients · 67 to 77Oct 31, 2025 to Mar 9, 2026
- Individual clients · 101 to 197Oct 31, 2025 to Mar 9, 2026
- Assets in custody · $69.3M to $98.2MOct 31, 2025 to Mar 9, 2026
- State-registered IARs · 8 to 9Oct 31, 2025 to Mar 9, 2026
- Private funds · 4 to 5Oct 31, 2025 to Mar 9, 2026
- Discretionary RAUM · $183M to $167MOct 31, 2025 to Mar 9, 2026
- HNW RAUM · $42.6M to $39.2MOct 31, 2025 to Mar 9, 2026
- Individual RAUM · $19.7M to $28.3MOct 31, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $7.5M to $47.5MOct 31, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $69.3M to $98.2MOct 31, 2025 to Mar 9, 2026
- RAUM · $190M to $214MOct 31, 2025 to Mar 9, 2026
- Accounts · 232 to 572May 27, 2025 to Oct 31, 2025
- HNW clients · 27 to 67May 27, 2025 to Oct 31, 2025
- Individual clients · 180 to 101May 27, 2025 to Oct 31, 2025
- Pooled vehicle clients · 3 to 4May 27, 2025 to Oct 31, 2025
- Assets in custody · $62.5M to $69.3MMay 27, 2025 to Oct 31, 2025
- Private funds · 3 to 4May 27, 2025 to Oct 31, 2025
- Discretionary RAUM · $111M to $183MMay 27, 2025 to Oct 31, 2025
- HNW RAUM · $24.9M to $42.6MMay 27, 2025 to Oct 31, 2025
- Individual RAUM · $23.9M to $19.7MMay 27, 2025 to Oct 31, 2025
- Non-discretionary RAUM · $7.2M to $7.5MMay 27, 2025 to Oct 31, 2025
- Pooled vehicle RAUM · $61.7M to $69.3MMay 27, 2025 to Oct 31, 2025
- RAUM · $119M to $190MMay 27, 2025 to Oct 31, 2025
- Related adviser · false to trueMay 27, 2025 to Oct 31, 2025
- Financial planning clients · 51-100 to 51-100Apr 23, 2025 to May 27, 2025
Signals
1 dated events
- L••• W• H••••• left A•••• W••••• F••••• L•• for S•••••••• A••••••• L•• (registered 2025-09-15)Sep 20, 2024 · Advisor changed firm · 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 phone
- 435-269-4100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- A••••WEALTHFUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 435-269-4100reportedpublic record, Form ADV, Jun 10, 2026
- Contact form
- alphawealthfunds.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- alphawealthfunds.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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026