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
C••••••• • W••••• M•••••••••
Legal name C••••••• • W••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Apr 30, 2018 · 20 filings
SEC status approved since May 30, 2018
RAUM
$101M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
4.1%
$4.1M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$101M as of Mar 9, 2026
Mar 29, 2019$101M then
HNW client RAUM$4.1M as of Mar 9, 2026
Mar 29, 2019$21.7M then
State-registered IARs (5.B.3)4 as of Mar 9, 2026
Mar 29, 20195 then
Employees (5.A)5 as of Mar 9, 2026
Mar 29, 201910 then
Private funds4 as of Mar 9, 2026
Mar 29, 20194 then
RAUM -14% over the last fiscal year-10% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
- RAUM per advisor
- $25.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $91.1M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$94.7M94%
- High-net-worth individuals$4.1M4.1%
- Charitable organizations$2.0M2.0%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $91.1M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.94 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R••• P•••• | Salt Lake City, Ut | Sep 26, 2013 | 20 y | 0 |
| J•••• B•••• J•••••• | Salt Lake City, Ut | Nov 19, 2014 | 20 y | 0 |
| R••• M••• S•••••• | Salt Lake City, Ut | Apr 8, 2015 | 27 y | 1 |
| M•••• C••••• | Salt Lake City, Ut | Dec 9, 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
- R••• M••• S•••••• from N••••••• I••••••••• A•••••••Apr 8, 2015 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• B••••• C•••••• I• L•• | Other Private Fund | $55.4M | 73 | Mar 29, 2024 |
| R•• B••••• C•••••• I•• L•• | Other Private Fund | $34.5M | 34 | Apr 30, 2018 |
| R•• B••••• C•••••• I••• L•• | Other Private Fund | $19.8M | 21 | Apr 30, 2018 |
| R•• B••••• C••••••• L•• | Other Private Fund | $4.4M | 32 | Apr 30, 2018 |
| C••••••• • W••••• F••• I•• L•• | Venture Capital Fund | $1.9M | 23 | Apr 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••• B•••• · Managercontrolsince 02/2024 · owns 50% to 75% of 6••• S••••• L••
- P••••• S••••• R••• · Managercontrolsince 11/2023 · owns 50% to 75% of P•••• H••••••• L••
- W•••••• B••••• L•••• · Managercontrolsince 07/2024 · owns 50% to 75% of R•• H••••••• H•••••••• L••
- S••••••• R•••• M••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- 6••• S••••• L•• · Memberdirect · owns 25% to 50%
- P•••• H••••••• L•• · Memberdirect · owns 25% to 50%
- R•• H••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C• I••••••••• I•••real estatey
- N•••••••• C••••••••• L••n
- R•••••••• C••••••••• L••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 7, 2025 to Mar 9, 2026
- Assets in custody · $91.9M to $91.1MMar 7, 2025 to Mar 9, 2026
- Employees · 6 to 5Mar 7, 2025 to Mar 9, 2026
- State-registered IARs · 3 to 4Mar 7, 2025 to Mar 9, 2026
- Discretionary RAUM · $104M to $94.7MMar 7, 2025 to Mar 9, 2026
- HNW RAUM · $7.4M to $4.1MMar 7, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $13.3M to $6.2MMar 7, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $104M to $94.7MMar 7, 2025 to Mar 9, 2026
- RAUM · $117M to $101MMar 7, 2025 to Mar 9, 2026
- Advisory employees · 4 to 3Jul 8, 2024 to Mar 7, 2025
- Charity clients · 2 to 1Jul 8, 2024 to Mar 7, 2025
- HNW clients · 3 to 4Jul 8, 2024 to Mar 7, 2025
- Assets in custody · $122M to $91.9MJul 8, 2024 to Mar 7, 2025
- Employees · 7 to 6Jul 8, 2024 to Mar 7, 2025
- Financial planning clients · unset to Jul 8, 2024 to Mar 7, 2025
- State-registered IARs · 4 to 3Jul 8, 2024 to Mar 7, 2025
- Discretionary RAUM · $112M to $104MJul 8, 2024 to Mar 7, 2025
- HNW RAUM · $8.2M to $7.4MJul 8, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $24.7M to $13.3MJul 8, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $112M to $104MJul 8, 2024 to Mar 7, 2025
- RAUM · $136M to $117MJul 8, 2024 to Mar 7, 2025
- Accounts · 8 to 9Dec 14, 2023 to Mar 29, 2024
- HNW clients · 2 to 3Dec 14, 2023 to Mar 29, 2024
- Assets in custody · $95.9M to $122MDec 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $121M to $112MDec 14, 2023 to Mar 29, 2024
- HNW RAUM · $6.4M to $8.2MDec 14, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $17.8M to $24.7MDec 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $121M to $112MDec 14, 2023 to Mar 29, 2024
- RAUM · $139M to $136MDec 14, 2023 to Mar 29, 2024
- Accounts · 5 to 8Mar 31, 2022 to Feb 28, 2023
- Charity clients · unset to 2.0Mar 31, 2022 to Feb 28, 2023
- HNW clients · 1 to 2Mar 31, 2022 to Feb 28, 2023
- Assets in custody · $6.4M to $95.9MMar 31, 2022 to Feb 28, 2023
- Employees · 8 to 7Mar 31, 2022 to Feb 28, 2023
- Financial planning clients · 0 to unsetMar 31, 2022 to Feb 28, 2023
- Discretionary RAUM · $90.8M to $121MMar 31, 2022 to Feb 28, 2023
- HNW RAUM · $5.5M to $6.4MMar 31, 2022 to Feb 28, 2023
- Non-discretionary RAUM · $5.5M to $17.8MMar 31, 2022 to Feb 28, 2023
- Pooled vehicle RAUM · $90.8M to $121MMar 31, 2022 to Feb 28, 2023
- RAUM · $96.4M to $139MMar 31, 2022 to Feb 28, 2023
Signals
2 dated events
- Kevin Paul Erickson (Manager) no longer on Schedule A of C••••••• • W••••• M••••••••• (listed 2023-12-14, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- C••••••• • W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 30, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• • W••••• M••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- REDB•••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-278-7800reportedpublic record, Form ADV, Mar 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $25.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026