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
I••••••••• W•••••• L••
Latest filing Mar 3, 2026
First filing on the tape Oct 7, 2020 · 11 filings
SEC status approved since Nov 6, 2020
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$110M as of Mar 3, 2026
Mar 22, 2021$65.0M then
HNW client RAUM$91.4M as of Mar 3, 2026
Mar 22, 2021$20.8M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 22, 20211 then
Employees (5.A)2 as of Mar 3, 2026
Mar 22, 20211 then
Private funds: no history
RAUM +39% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $55.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $252,942derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.4M83%
- Individuals$17.6M16%
- Corporations and businesses$1.0M0.9%
- Individual clients
- 61reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 435reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A•••••• P••••••• | Highland, Ut | Mar 5, 2013 | 13 y | 0 |
| J••••• M•••••• P••••••• | Highland, Ut | Jul 6, 2023 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• J•••• A•••••• · Owner Managing Membercontrolsince 01/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Highland, Ut | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $79,027,774 to $110,029,875 (+39.0%) between the annual amendments of 2025-03-21 and 2026-03-03; the peer median change was +15.0% (4549 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 423 to 435Mar 21, 2025 to Mar 3, 2026
- Corporate clients · 5 to 3Mar 21, 2025 to Mar 3, 2026
- HNW clients · 65 to 82Mar 21, 2025 to Mar 3, 2026
- Individual clients · 73 to 61Mar 21, 2025 to Mar 3, 2026
- Discretionary RAUM · $79.0M to $110MMar 21, 2025 to Mar 3, 2026
- HNW RAUM · $55.9M to $91.4MMar 21, 2025 to Mar 3, 2026
- Individual RAUM · $22.0M to $17.6MMar 21, 2025 to Mar 3, 2026
- RAUM · $79.0M to $110MMar 21, 2025 to Mar 3, 2026
- Accounts · 367 to 423Feb 16, 2024 to Mar 21, 2025
- Corporate clients · unset to 5.0Feb 16, 2024 to Mar 21, 2025
- Individual clients · 54 to 73Feb 16, 2024 to Mar 21, 2025
- Financial planning clients · unset to Feb 16, 2024 to Mar 21, 2025
- HQ city · unset to Feb 16, 2024 to Mar 21, 2025
- HQ state · unset to Feb 16, 2024 to Mar 21, 2025
- Discretionary RAUM · $71.7M to $79.0MFeb 16, 2024 to Mar 21, 2025
- HNW RAUM · $51.3M to $55.9MFeb 16, 2024 to Mar 21, 2025
- Individual RAUM · $19.4M to $22.0MFeb 16, 2024 to Mar 21, 2025
- RAUM · $71.7M to $79.0MFeb 16, 2024 to Mar 21, 2025
- Accounts · 327 to 367Jun 1, 2023 to Feb 16, 2024
- Advisory employees · 1 to 2Jun 1, 2023 to Feb 16, 2024
- HNW clients · 59 to 65Jun 1, 2023 to Feb 16, 2024
- Employees · 1 to 2Jun 1, 2023 to Feb 16, 2024
- State-registered IARs · 1 to 2Jun 1, 2023 to Feb 16, 2024
- Discretionary RAUM · $60.3M to $71.7MJun 1, 2023 to Feb 16, 2024
- HNW RAUM · $45.3M to $51.3MJun 1, 2023 to Feb 16, 2024
- Individual RAUM · $14.3M to $19.4MJun 1, 2023 to Feb 16, 2024
- RAUM · $60.3M to $71.7MJun 1, 2023 to Feb 16, 2024
- Accounts · 312 to 327Mar 28, 2022 to Mar 10, 2023
- HNW clients · 54 to 59Mar 28, 2022 to Mar 10, 2023
- Individual clients · 52 to 54Mar 28, 2022 to Mar 10, 2023
- Discretionary RAUM · $67.0M to $60.3MMar 28, 2022 to Mar 10, 2023
- HNW RAUM · $47.2M to $45.3MMar 28, 2022 to Mar 10, 2023
- Individual RAUM · $19.3M to $14.3MMar 28, 2022 to Mar 10, 2023
- RAUM · $67.0M to $60.3MMar 28, 2022 to Mar 10, 2023
- Accounts · 275 to 312Mar 23, 2021 to Mar 28, 2022
- HNW clients · 36 to 54Mar 23, 2021 to Mar 28, 2022
- Individual clients · 51 to 52Mar 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $65.0M to $67.0MMar 23, 2021 to Mar 28, 2022
- HNW RAUM · $43.9M to $47.2MMar 23, 2021 to Mar 28, 2022
- Individual RAUM · $20.8M to $19.3MMar 23, 2021 to Mar 28, 2022
Signals
1 dated events
- I••••••••• W•••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 2020 · 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
- Website
- WEALTHSTEADING.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 801-317-8222reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- wealthsteading.com/contactreportedpublished 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
- $55.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026