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
H••••• D•••• I•••••••••
Legal name H••••• W• D•••• I•••
Latest filing Aug 3, 2026
First filing on the tape Feb 6, 2024 · 9 filings
SEC status approved since Apr 19, 2024
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$154M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$19.8M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$158M as of Aug 3, 2026
Apr 1, 2025$132M then
HNW client RAUM$32.0M as of Aug 3, 2026
Apr 1, 2025$27.0M then
State-registered IARs (5.B.3)8 as of Aug 3, 2026
Apr 1, 20257 then
Employees (5.A)8 as of Aug 3, 2026
Apr 1, 20257 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 7 to 8
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $19.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $386,308derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$122M77%
- High-net-worth individuals$32.0M20%
- Charitable organizations$4.0M2.5%
- Individual clients
- 281reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 409reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• F• N••••• | Logan, Ut | Apr 18, 2005 | 27 y | 0 |
| K••• B• H••••••Certified Financial Planner, Chartered Financial Consultant | Logan, Ut | Feb 13, 2006 | 43 y | 2 |
| D••••• J••••• N•••••Personal Financial Specialist | Logan, Ut | Jun 24, 2008 | 18 y | 0 |
| J••• W• P••••••• | Logan, Ut | Dec 3, 2009 | 27 y | 4 |
| A•••• J•••• N••••• | Logan, Ut | Sep 15, 2015 | 11 y | 0 |
| K•••••••• W••••••••Certified Financial Planner | Logan, Ut | Apr 27, 2022 | 15 y | 0 |
| P•••• S•• B••••••••• | Logan, Ut | Jan 3, 2024 | 27 y | 1 |
| G•••••• T• E•••• | Logan, Ut | Dec 1, 2025 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P•••• S•• B••••••••• from P••••••• A••••••• S•••••••• I•••Jan 3, 2024 · RIA to RIA
- J••• W• P••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 3, 2009 · Other
- K••• B• H•••••• from Z•••• D•••••• I•••Feb 13, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• A•••• J•••• · Vice President, S-Corp Shareholdercontrolsince 05/2018 · owns 25% to 50%
- N•••••• D••••• J••••• · Vice President, S-Corp Shareholdercontrolsince 05/2018 · owns 25% to 50%
- N•••••• S•••••• F• · President; Cco; S-Corp Shareholdercontrolsince 07/2004 · 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 |
|---|---|---|---|---|---|
| Logan, Ut · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 298 to 409Apr 1, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Apr 1, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Apr 1, 2025 to Mar 31, 2026
- Charity clients · 2 to 4Apr 1, 2025 to Mar 31, 2026
- HNW clients · 15 to 21Apr 1, 2025 to Mar 31, 2026
- Employees · 7 to 8Apr 1, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 8Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $132M to $158MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $27.0M to $32.0MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $102M to $122MApr 1, 2025 to Mar 31, 2026
- RAUM · $132M to $158MApr 1, 2025 to Mar 31, 2026
- Accounts · 207 to 298Nov 26, 2024 to Apr 1, 2025
- HNW clients · 10 to 15Nov 26, 2024 to Apr 1, 2025
- Individual clients · 195 to 281Nov 26, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 251-500Nov 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $119M to $132MNov 26, 2024 to Apr 1, 2025
- HNW RAUM · $25.0M to $27.0MNov 26, 2024 to Apr 1, 2025
- Individual RAUM · $92.0M to $102MNov 26, 2024 to Apr 1, 2025
- RAUM · $119M to $132MNov 26, 2024 to Apr 1, 2025
- Custody of client assets · true to falseMar 26, 2024 to May 10, 2024
- Related broker-dealer · true to falseFeb 8, 2024 to Mar 26, 2024
- Related insurance company · true to falseFeb 8, 2024 to Mar 26, 2024
Signals
1 dated events
- H••••• D•••• I••••••••• filed its initial SEC registration (Form ADV)Feb 6, 2024 · 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
- advisor@harolddance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tara@harolddance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- penny@harolddance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- steve@harolddance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- dan@harolddance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 435-752-8487reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 435-752-8484reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 435-752-8484reportedpublic record, Form ADV, Aug 3, 2026
- Team page
- harolddance.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $19.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026