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•••• C•••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 16, 2012 · 30 filings
SEC status approved since Nov 27, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$337M
derived; firm RAUM over IAPD count
Employees
20
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2026
May 30, 2013$245M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2026
May 30, 20132 then
Employees (5.A)20 as of Mar 27, 2026
May 30, 20133 then
Private funds16 as of Mar 27, 2026
Mar 24, 20146 then
RAUM +6.6% over the last fiscal year-1.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $337MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $84.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.3B, 16 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 16 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| T•••• M•••• C••••••••• | Salt Lake City, Ut | Mar 27, 2013 | 20 y | 1 |
| K•••••• D••• B•••••Chartered Financial Analyst | Salt Lake City, Ut | Mar 27, 2013 | 33 y | 1 |
| P•••• O•••• J••••• | Salt Lake City, Ut | Apr 22, 2013 | 13 y | 0 |
| C•••••• R••• S•••• | Salt Lake City, Ut | Oct 16, 2017 | 15 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
- K•••••• D••• B••••• from W•••••• A••••••• L•Mar 27, 2013 · Other
- T•••• M•••• C••••••••• from W•••••• A••••••• L•Mar 27, 2013 · Other
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• C•••• P••••••• V• L••• | Venture Capital Fund | $184M | 32 | Mar 26, 2019 |
| C•••• C•••• C•••••• P••••••• I•• L••• | Venture Capital Fund | $157M | 31 | Mar 29, 2017 |
| C•••• C•••• C•••••• P••••••• I••• L••• | Venture Capital Fund | $153M | 28 | Oct 14, 2013 |
| C•••• C•••• P••••••• V••• L••• | Venture Capital Fund | $148M | 78 | Mar 29, 2023 |
| C•••• C•••• C•••••• I••• L••• | Venture Capital Fund | $144M | 75 | Mar 29, 2021 |
| C•••• C•••• C•••••• I•• L••• | Venture Capital Fund | $127M | 23 | Mar 27, 2015 |
| C•••• C•••• P••••••• V•• L••• | Venture Capital Fund | $118M | 76 | Mar 29, 2021 |
| C•••• C•••• F•••• F•••• L••• | Venture Capital Fund | $81.8M | 8 | Mar 27, 2020 |
| C•••• C•••• F•••• F••• I•• L••• | Venture Capital Fund | $61.5M | 12 | Mar 29, 2023 |
| C•••• C•••• C•••••• P••••••• I•• L••• | Venture Capital Fund | $53.6M | 27 | Mar 29, 2012 |
| C•••• C•••• F•••• F••• I•••• L••• | Venture Capital Fund | $40.2M | 2 | Mar 29, 2023 |
| C•••• C•••• C•••••• P•••••••• L•• | Venture Capital Fund | $21.6M | 19 | Mar 29, 2012 |
| C•••• C•••• F•••• F••• I• S•••••• L••• | Venture Capital Fund | $19.7M | 2 | Mar 29, 2023 |
| C•••• C•••• C•••••• P••••••• I•••• L••• | Venture Capital Fund | $15.9M | 3 | Mar 29, 2012 |
| C•••• C•••• L••••• L••• | Venture Capital Fund | $7.6M | 10 | Mar 30, 2022 |
| C•••• C•••• C••••••• L••• | Venture Capital Fund | $2.8M | 38 | Mar 29, 2012 |
| C•••• C•••• C•••••• E•••••••• F•••• L••• | Venture Capital Fund | $880,132 | 24 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••••• D••• · Chief Executive Officer; Elected Manager; Membercontrolsince 10/2012 · owns 75% or more
- C••••••••• T••••• M•••• · Chief Compliance Officer; Elected Manager; Member; Vice Presidentcontrolsince 10/2012 · owns less than 5%
- J•••••• P••••• O•••• · Elected Manager; Membercontrolsince 01/2013 · owns less than 5%
- P•••• B••• · Partner And Chief Financial Officercontrolsince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
- C•••• C•••• C•••••• G•• L•••pooled vehicle sponsory
- C•••• C•••• C•••••• I• G•• L••pooled vehicle sponsory
- C•••• C•••• C•••••• I•• G•• L••pooled vehicle sponsory
- C•••• C•••• C•••••• P••••••• G•• L••pooled vehicle sponsory
- C•••• C•••• C•••••• P••••••• I• G•• L••pooled vehicle sponsory
- C•••• C•••• C•••••• P••••••• I•• G•• L••pooled vehicle sponsory
- C•••• C•••• C•••••• P••••••• I• G•• L••pooled vehicle sponsory
- C•••• C•••• F•••• F••• G•• L••pooled vehicle sponsory
- C•••• C•••• F•••• F••• I• G•• L••pooled vehicle sponsory
- C•••• C•••• L•••• G•• L••pooled vehicle sponsory
- C•••• C•••• P••••••• V• G•• L••pooled vehicle sponsory
- C•••• C•••• P••••••• V• G•• L••pooled vehicle sponsory
- C•••• C•••• P••••••• V•• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 16Mar 27, 2025 to Mar 27, 2026
- adv e•••••••• · 12 to 10Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 15 to 16Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $1.3B to $1.3BMar 27, 2025 to Mar 27, 2026
- Private funds · 15 to 16Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $1.3BMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $24.7M to $24.9MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.3B to $1.3BMar 27, 2025 to Mar 27, 2026
- RAUM · $1.3B to $1.3BMar 27, 2025 to Mar 27, 2026
- Accounts · 17 to 15Mar 28, 2024 to Mar 27, 2025
- adv e•••••••• · 13 to 12Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 17 to 15Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $1.3B to $1.3BMar 28, 2024 to Mar 27, 2025
- e•••••••• · 19 to 20Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Private funds · 17 to 15Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.3B to $1.2BMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $19.7M to $24.7MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BMar 28, 2024 to Mar 27, 2025
- RAUM · $1.3B to $1.3BMar 28, 2024 to Mar 27, 2025
- adv e•••••••• · 11 to 13Jun 29, 2023 to Mar 28, 2024
- Assets in custody · $1.4B to $1.3BJun 29, 2023 to Mar 28, 2024
- e•••••••• · 18 to 19Jun 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.3BJun 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $19.7MJun 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.3BJun 29, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.3BJun 29, 2023 to Mar 28, 2024
- Accounts · 13 to 17Jun 28, 2022 to Mar 29, 2023
- Pooled vehicle clients · 13 to 17Jun 28, 2022 to Mar 29, 2023
- Assets in custody · $1.5B to $1.4BJun 28, 2022 to Mar 29, 2023
- e•••••••• · 17 to 18Jun 28, 2022 to Mar 29, 2023
- Private funds · 13 to 17Jun 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.5B to $1.4BJun 28, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.5B to $1.4BJun 28, 2022 to Mar 29, 2023
- RAUM · $1.5B to $1.4BJun 28, 2022 to Mar 29, 2023
- Accounts · 12 to 13Jun 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 12 to 13Jun 30, 2021 to Mar 30, 2022
- Assets in custody · $1.0B to $1.5BJun 30, 2021 to Mar 30, 2022
- e•••••••• · 16 to 17Jun 30, 2021 to Mar 30, 2022
- Private funds · 12 to 13Jun 30, 2021 to Mar 30, 2022
Signals
4 dated events
- C•••• C•••• A•••••••• L•• reported RAUM $1.5B, up 46% from $1.0B (2021-06-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- B••• P••• (Partner And Chief Financial Officer) appeared on Schedule A of C•••• C•••• A•••••••• L••Jun 30, 2021 · Control person joined · fact
- C•••• C•••• A•••••••• L•• reported RAUM $1.0B, up 36% from $752.7M (2020-04-15 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- C•••• C•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• C•••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C••••C••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-214-0091reportedpublic record, Form ADV, Mar 27, 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
- $337Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026