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
W••••••••• A•••••••• L••
Latest filing Mar 17, 2022
First filing on the tape Apr 30, 2012 · 18 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
15%
of RAUM
Private clients
14%
$331M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.3B as of Mar 16, 2022
Mar 5, 2013$834M then
HNW client RAUM$248M as of Mar 16, 2022
Mar 23, 2018$134M then
State-registered IARs (5.B.3)10 as of Mar 16, 2022
Mar 5, 20138 then
Employees (5.A)18 as of Mar 16, 2022
Mar 5, 20138 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Mar 17, 2022; every figure names its basis
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%derivedof RAUM
- Institutional
- 85%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $41.5M, 38 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.0B85%
- High-net-worth individuals$248M11%
- Individuals$82.2M3.5%
- Corporations and businesses$25.2M1.1%
- Charitable organizations$3.6M0.2%
- Individual clients
- 302reported
- HNW clients
- 102reported
- Pension plan clients
- 149reported
- Charitable clients
- 3reported
- Accounts
- 982reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.5M for 38 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- T••• M••••• S••••••• to G••••• R••••••••• P••••••• L••Feb 7, 2023 · Other
- C•••• S•••• H••••••• to G••••• R••••••••• P••••••• L••Feb 7, 2023 · Other
- R••• L•••• H••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 7, 2023 · Other
- S•••• L•••• S••••••• to G••••• R••••••••• P••••••• L••Feb 7, 2023 · Other
- M•••••• C••• W•••••• to G••••• R••••••••• P••••••• L••Feb 7, 2023 · Other
- S•••• S••••••• to G••••• R••••••••• P••••••• L••Feb 7, 2023 · Other
- C••••• D••••••• H••• to G••••• R••••••••• P••••••• L••Feb 2, 2023 · Other
- E•••• R••••••• C••••• to M•••••• W••••• M••••••••• L•May 2, 2022 · Other
- S•••• M•••• J•••••• to L•••••• I••••••••• A•••••••• L••Jan 23, 2019 · Other
- A••• P••••••• D••••• to L•••••• I••••••••• A•••••••• L••Jan 23, 2019 · Other
- A••••• M•••• M••••••• to G••••• R••••••••• P••••••• L••Jan 28, 2016 · Other
- D•••• O•••••• R••• to V••••••• A•••••••• I•••May 7, 2015 · Other
- S••• L•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2013 · Other
Joined, latest
- M•••••• C••• W•••••• from C•••••• S••••• • C••• I•••Sep 16, 2020 · Other
- C••••• D••••••• H••• from P•••••••• S••••••••• I•••Dec 9, 2015 · Other
- E•••• R••••••• C••••• from E••••• J••••Nov 27, 2015 · Other
- A••• P••••••• D••••• from P•••••••• S••••••••• I•••Aug 21, 2014 · Other
- D•••• O•••••• R••• from S••••• W••••• A•••••••• I•••Dec 11, 2013 · Other
- A••••• M•••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 22, 2011 · Other
- S••• L•••• from R•••••• J•••• F•••••••• S•••••••• I•••Jul 29, 2009 · Other
- T••• M••••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 27, 2009 · Other
- S•••• L•••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 27, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for G••••• R••••••••• P••••••• L••Feb 2, 2023 · S••••Sdale, Az · Firm absorbed
- 2 left for L•••••• I••••••••• A•••••••• L••Jan 23, 2019 · S••••Sdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R•••• L•••• · Manager, Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- S•••••••• S••••• L•••• · Managercontrolsince 12/2014 · owns less than 5%
- H•••••• R•••• L•••• · Presidentcontrolsince 04/2009 · owns 75% or more of W••••• M••••••••• I•••
- S•••••••• S••••• L•••• · Presidentcontrolsince 12/2014 · owns 75% or more of Retirement P••• Advisors Inc
Entity owners
- R••••••••• P••• A••••••• I••• · Memberdirect · owns 50% to 75%
- W••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Lehi, UT1 employees
- St. Louis, MO1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $32.2M to $41.5MMar 16, 2022 to Mar 17, 2022
- Accounts · 899 to 982Mar 25, 2021 to Mar 16, 2022
- Advisory employees · 11 to 10Mar 25, 2021 to Mar 16, 2022
- Charity clients · 2 to 3Mar 25, 2021 to Mar 16, 2022
- Corporate clients · 20 to 13Mar 25, 2021 to Mar 16, 2022
- HNW clients · 80 to 102Mar 25, 2021 to Mar 16, 2022
- Individual clients · 278 to 302Mar 25, 2021 to Mar 16, 2022
- Pension plan clients · 155 to 149Mar 25, 2021 to Mar 16, 2022
- Employees · 19 to 18Mar 25, 2021 to Mar 16, 2022
- State-registered IARs · 11 to 10Mar 25, 2021 to Mar 16, 2022
- Discretionary RAUM · $296M to $359MMar 25, 2021 to Mar 16, 2022
- HNW RAUM · $204M to $248MMar 25, 2021 to Mar 16, 2022
- Individual RAUM · $71.5M to $82.2MMar 25, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $1.6B to $2.0BMar 25, 2021 to Mar 16, 2022
- Pension RAUM · $1.6B to $2.0BMar 25, 2021 to Mar 16, 2022
- RAUM · $1.9B to $2.3BMar 25, 2021 to Mar 16, 2022
- Accounts · 871 to 899Jun 24, 2020 to Mar 19, 2021
- Advisory employees · 8 to 11Jun 24, 2020 to Mar 19, 2021
- Charity clients · 3 to 2Jun 24, 2020 to Mar 19, 2021
- Corporate clients · 7 to 20Jun 24, 2020 to Mar 19, 2021
- HNW clients · 65 to 80Jun 24, 2020 to Mar 19, 2021
- Individual clients · 281 to 278Jun 24, 2020 to Mar 19, 2021
- Pension plan clients · 141 to 155Jun 24, 2020 to Mar 19, 2021
- Assets in custody · $37.2M to $32.2MJun 24, 2020 to Mar 19, 2021
- Employees · 15 to 19Jun 24, 2020 to Mar 19, 2021
- State-registered IARs · 8 to 11Jun 24, 2020 to Mar 19, 2021
- Discretionary RAUM · $267M to $296MJun 24, 2020 to Mar 19, 2021
- HNW RAUM · $128M to $204MJun 24, 2020 to Mar 19, 2021
- Individual RAUM · $116M to $71.5MJun 24, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $1.4B to $1.6BJun 24, 2020 to Mar 19, 2021
- Pension RAUM · $1.4B to $1.6BJun 24, 2020 to Mar 19, 2021
- RAUM · $1.6B to $1.9BJun 24, 2020 to Mar 19, 2021
- Accounts · 866 to 871Mar 14, 2019 to Mar 17, 2020
- Advisory employees · 9 to 8Mar 14, 2019 to Mar 17, 2020
- Charity clients · 2 to 3Mar 14, 2019 to Mar 17, 2020
- HNW clients · 63 to 65Mar 14, 2019 to Mar 17, 2020
- Individual clients · 268 to 281Mar 14, 2019 to Mar 17, 2020
- Pension plan clients · 153 to 141Mar 14, 2019 to Mar 17, 2020
- Assets in custody · $48.5M to $37.2MMar 14, 2019 to Mar 17, 2020
- Employees · 18 to 15Mar 14, 2019 to Mar 17, 2020
Signals
10 dated events
- S•••• L•••• S••••••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-06-09)Feb 7, 2023 · Advisor changed firm · fact
- S•••• S••••••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-10-18)Feb 7, 2023 · Advisor changed firm · fact
- M•••••• C••• W•••••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-10)Feb 7, 2023 · Advisor changed firm · fact
- C•••• S•••• H••••••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-06-16)Feb 7, 2023 · Advisor changed firm · fact
- R••• L•••• H••••• left W••••••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2011-03-16)Feb 7, 2023 · Advisor changed firm · fact
- T••• M••••• S••••••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-06-09)Feb 7, 2023 · Advisor changed firm · fact
- W••••••••• A•••••••• L••'s advisors moved to G••••• R••••••••• P••••••• L•• (Scottsdale, AZ): 6 of 7 registered, within 5 daysFeb 2, 2023 · Firm absorbed (people side) · derived
- C••••• D••••••• H••• left W••••••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-18)Feb 2, 2023 · Advisor changed firm · fact
- E•••• R••••••• C••••• left W••••••••• A•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2022-05-24)May 2, 2022 · Advisor changed firm · fact
- W••••••••• A•••••••• L•• reported RAUM $1.5B, up 27% from $1.2B (2017-03-30 to 2018-03-23)Mar 23, 2018 · 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.
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