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

F•••••••• I•••••• C•••••

Former SEC-registered adviserSalt L••• City, UtahCRD 153610SEC 801-71396IAPD

Legal name F••••••• L•••• L••

Latest filing Jun 24, 2020

First filing on the tape Jan 19, 2012 · 32 filings

RAUM

$420M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

87%

$367M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

13 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM$420M as of Feb 25, 2020

Jan 19, 2012$7.6M then

HNW client RAUM$142M as of Feb 25, 2020

Mar 21, 2018$78.5M then

State-registered IARs (5.B.3)13 as of Feb 25, 2020

Feb 21, 20138 then

Employees (5.A)13 as of Feb 25, 2020

Feb 21, 20138 then

Private funds: no history

RAUM +32% over the last fiscal year+28% a year over threeIARs 12 to 13offices 2 to 1

Practice profile

derived from the filing of Jun 24, 2020; every figure names its basis

RAUM per advisor: $32.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 99derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $119,137derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 6.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +32%derivedbetween the last two annual amendments
Advisor growth, one year: +8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$225M54%
High-net-worth individuals$142M34%
Pension and profit-sharing plans$52.6M13%
Charitable organizations$102,0000.0%

Individual clients: 1,166reported
HNW clients: 126reported
Pension plan clients: 133reported
Charitable clients: 4reported
Accounts: 3,525reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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

S•••• N••••• S•••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
T•••••• M• G••••••••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
T•••• M••• P••••••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
R••• M•••••• K••••• to T•• I•••••• G••••• I•••
Oct 21, 2020 · RIA to RIA
D••••• C•••••• C••••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
D•••• W••••• T••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
R•••••• S• J•••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
B•••• H•••• W•••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
B•••• C• J•••••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
M••• R•••••••• M••••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
R••••• A••••• D•••• to E• W••••• A•••••••
Oct 21, 2020 · RIA to RIA
B•••• V••••• C••••••• to M••••• W••••• M••••••••• L••
Dec 4, 2017 · Other
B•••• J•••• W•••• to C•••••• F•••••••• M••••••••• I•••
Aug 1, 2011 · Other
S••••• T••• H•••••••• to T•• I•••••• G••••• I•••
Jul 20, 2011 · Other

Joined, latest

B•••• H•••• W•••• from O••••••••• S••••••••• I•••
Jan 26, 2018 · Other
R••• M•••••• K••••• from T•• I•••••• G••••• I•••
Jan 19, 2018 · Other
T•••••• M• G••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Jan 10, 2018 · Other
B•••• V••••• C••••••• from T•• I•••••• G••••• I•••
Mar 22, 2016 · Other
T•••• M••• P••••••• from O••••••••• S••••••••• I•••
Jan 9, 2015 · Other
B•••• C• J•••••• from O••••••••• S••••••••• I•••
Jan 29, 2014 · Other
R•••••• S• J•••• from S••••••• F•••••••• S•••••••• I•••
Jan 20, 2012 · Other
D•••• W••••• T••• from Q•••••• A•••• M••••••••• I•••
Oct 4, 2011 · Other
S•••• N••••• S•••• from T•• I•••••• G••••• I•••
Jul 7, 2010 · Other
S••••• T••• H•••••••• from M•• I•••••••• S•••••••• L••
Jun 8, 2010 · Other
M••• R•••••••• M••••• from F••••••••• L••
May 25, 2010 · Other
B•••• J•••• W•••• from H••••••• W••••• M•••••••••
May 17, 2010 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

10 left for E• W••••• A•••••••
Oct 21, 2020 · Salt L••• City, Ut · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• C••••••• L•••• · 30% Ownercontrol
since 08/2011 · owns 25% to 50%
M•••••• M•••• R•••••••• · Membercontrol
since 04/2010 · owns less than 5%
S••••••••• P•••• W•••••• · Membercontrol
since 04/2010 · owns less than 5%
M•••••• M•••• R•••••••• · 50% Membercontrol
since 09/2009 · owns 50% to 75% of F•••••••• I•••••• H•••••••• L••
S••••••••• P•••• W•••••• · 50% Membercontrol
since 09/2009 · owns 50% to 75% of F•••••••• I•••••• H•••••••• L••
J••••••• B••••• C• · 10% Owner
since 10/2018 · owns 10% to 25%
S••••• S••••• N••••• · Chief Compliance Officer
since 08/2010 · owns less than 5%

Entity owners

F•••••••• I•••••• H•••••••• L•• · 60% Owner
direct · owns 50% to 75%

Related persons

Schedule D 7.A

T•• I•••••• G•••• I•••••••• A•••••• L••
real estaten
T•• I•••••• G••••• I•••
investment adviseryRAUM $848M

Advisers that list F•••••••• I•••••• C••••• as a related person

117936 n
152155 n

Offices

Schedule D 1.F, the 25 largest

Logan, UT1 employees

What changed

consecutive filings, newest first

Other offices · 2 to 1
Feb 25, 2020 to Mar 17, 2020
Accounts · 2,959 to 3,525
Dec 6, 2019 to Feb 25, 2020
Advisory employees · 12 to 13
Dec 6, 2019 to Feb 25, 2020
Charity clients · 2 to 4
Dec 6, 2019 to Feb 25, 2020
HNW clients · 118 to 126
Dec 6, 2019 to Feb 25, 2020
Individual clients · 1,001 to 1,166
Dec 6, 2019 to Feb 25, 2020
Pension plan clients · 110 to 133
Dec 6, 2019 to Feb 25, 2020
Employees · 12 to 13
Dec 6, 2019 to Feb 25, 2020
State-registered IARs · 12 to 13
Dec 6, 2019 to Feb 25, 2020
Discretionary RAUM · $271M to $365M
Dec 6, 2019 to Feb 25, 2020
HNW RAUM · $114M to $142M
Dec 6, 2019 to Feb 25, 2020
Individual RAUM · $163M to $225M
Dec 6, 2019 to Feb 25, 2020
Non-discretionary RAUM · $47.2M to $54.5M
Dec 6, 2019 to Feb 25, 2020
Pension RAUM · $40.4M to $52.6M
Dec 6, 2019 to Feb 25, 2020
RAUM · $318M to $420M
Dec 6, 2019 to Feb 25, 2020
Accounts · 2,463 to 2,959
Oct 17, 2018 to Mar 8, 2019
Charity clients · unset to 2.0
Oct 17, 2018 to Mar 8, 2019
HNW clients · 254 to 118
Oct 17, 2018 to Mar 8, 2019
Individual clients · 424 to 1,001
Oct 17, 2018 to Mar 8, 2019
Pension plan clients · unset to 110.0
Oct 17, 2018 to Mar 8, 2019
Discretionary RAUM · $243M to $271M
Oct 17, 2018 to Mar 8, 2019
HNW RAUM · $114M to $114M
Oct 17, 2018 to Mar 8, 2019
Individual RAUM · $165M to $163M
Oct 17, 2018 to Mar 8, 2019
Non-discretionary RAUM · $36.8M to $47.2M
Oct 17, 2018 to Mar 8, 2019
Pension RAUM · unset to 40350608.0
Oct 17, 2018 to Mar 8, 2019
RAUM · $279M to $318M
Oct 17, 2018 to Mar 8, 2019
Charity clients · 2.0 to unset
Jul 16, 2018 to Oct 17, 2018
HNW clients · 143 to 254
Jul 16, 2018 to Oct 17, 2018
Pension plan clients · 109.0 to unset
Jul 16, 2018 to Oct 17, 2018
Pooled vehicle clients · 0.0 to unset
Jul 16, 2018 to Oct 17, 2018
HNW RAUM · $83.3M to $114M
Jul 16, 2018 to Oct 17, 2018
Pension RAUM · 30675209.0 to unset
Jul 16, 2018 to Oct 17, 2018
Pooled vehicle RAUM · 0.0 to unset
Jul 16, 2018 to Oct 17, 2018
HNW clients · 136 to 143
Apr 11, 2018 to May 16, 2018
Pooled vehicle clients · 7 to 0
Apr 11, 2018 to May 16, 2018
HNW RAUM · $78.5M to $83.3M
Apr 11, 2018 to May 16, 2018
Pooled vehicle RAUM · $4.8M to $0
Apr 11, 2018 to May 16, 2018
Other offices · 1 to 2
Mar 21, 2018 to Apr 11, 2018
Accounts · 1,934 to 2,463
Mar 9, 2018 to Mar 21, 2018
Advisory employees · 11 to 12
Mar 9, 2018 to Mar 21, 2018

Signals

1 dated events

F•••••••• I•••••• C••••• reported RAUM $420.0M, up 32% from $317.8M (2019-12-06 to 2020-02-25)
Feb 25, 2020 · 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