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••••••••• A•••••••
Legal name H••••••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 22, 2013 · 30 filings
SEC status approved since Apr 26, 2013
RAUM
$2.0B
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
100%
$2.0B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.0B
derived; firm RAUM over IAPD count
Employees
8
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.0B as of Mar 25, 2026
Apr 16, 2014$12.8M then
HNW client RAUM$0 as of Mar 25, 2026
Apr 30, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Apr 16, 20142 then
Employees (5.A)8 as of Mar 25, 2026
Apr 16, 20145 then
Private funds: no history
RAUM +32% over the last fiscal year+24% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.0BderivedRAUM 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
- $11,178derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $2.0B, 178,476 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)
- compensates persons for client referrals (8.G.1)
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.0B100%
- Individual clients
- 178,476reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 178,476reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 178,476 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•• I•••Chartered Financial Consultant | Draper, Ut | Sep 25, 2017 | 20 y | 5 |
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
- J•••• R•• I••• from A••••• A•••••••• L••May 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J•••••• P••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- E•••••• C••••••• M•••••••• · Director Of Finance, Member Of The Board Of Managerscontrolsince 03/2025 · owns less than 5%
- I•••• J••••• R•• · Managing Directorcontrolsince 04/2013 · owns less than 5%
- K••••••• J•• · Member Of The Board Of Managerscontrolsince 12/2012 · owns less than 5%
- L••••••• J••••• M•••••• · Member Of The Board Of Managerscontrolsince 09/2023 · owns less than 5%
- N•••••••• S••••••• D••• · Member Of The Board Of Managerscontrolsince 12/2012 · owns less than 5%
Entity owners
- H••••••••• I••• · Sole Shareholder, Managerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- H••••••••• T•••• C••••••custodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 25, 2026K••••••• J•• (MEMBER OF THE BOARD OF MANAGERS) left Schedule A between the filings of 2023-09-27 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 133,156 to 178,476Apr 28, 2025 to Mar 25, 2026
- Individual clients · 133,156 to 178,476Apr 28, 2025 to Mar 25, 2026
- Assets in custody · $1.5B to $2.0BApr 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $924M to $1.2BApr 28, 2025 to Mar 25, 2026
- Individual RAUM · $1.5B to $2.0BApr 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $584M to $787MApr 28, 2025 to Mar 25, 2026
- RAUM · $1.5B to $2.0BApr 28, 2025 to Mar 25, 2026
- Accounts · 107,327 to 133,156Apr 26, 2024 to Apr 28, 2025
- Individual clients · 107,327 to 133,156Apr 26, 2024 to Apr 28, 2025
- Assets in custody · $1.2B to $1.5BApr 26, 2024 to Apr 28, 2025
- Financial planning clients · unset to Apr 26, 2024 to Apr 28, 2025
- Discretionary RAUM · $744M to $924MApr 26, 2024 to Apr 28, 2025
- Individual RAUM · $1.2B to $1.5BApr 26, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $451M to $584MApr 26, 2024 to Apr 28, 2025
- RAUM · $1.2B to $1.5BApr 26, 2024 to Apr 28, 2025
- Accounts · 102,270 to 107,327Sep 27, 2023 to Apr 26, 2024
- Individual clients · 102,270 to 107,327Sep 27, 2023 to Apr 26, 2024
- Assets in custody · $1.1B to $1.2BSep 27, 2023 to Apr 26, 2024
- Discretionary RAUM · $623M to $744MSep 27, 2023 to Apr 26, 2024
- Individual RAUM · $1.1B to $1.2BSep 27, 2023 to Apr 26, 2024
- Non-discretionary RAUM · $446M to $451MSep 27, 2023 to Apr 26, 2024
- RAUM · $1.1B to $1.2BSep 27, 2023 to Apr 26, 2024
- Accounts · 96,234 to 102,270Dec 7, 2022 to Apr 27, 2023
- Individual clients · 96,234 to 102,270Dec 7, 2022 to Apr 27, 2023
- Assets in custody · $1.1B to $1.1BDec 7, 2022 to Apr 27, 2023
- Discretionary RAUM · $611M to $623MDec 7, 2022 to Apr 27, 2023
- Individual RAUM · $1.1B to $1.1BDec 7, 2022 to Apr 27, 2023
- Non-discretionary RAUM · $442M to $446MDec 7, 2022 to Apr 27, 2023
- RAUM · $1.1B to $1.1BDec 7, 2022 to Apr 27, 2023
- Accounts · 78,565 to 96,234Jan 26, 2022 to Mar 18, 2022
- Individual clients · 78,565 to 96,234Jan 26, 2022 to Mar 18, 2022
- Assets in custody · $820M to $1.1BJan 26, 2022 to Mar 18, 2022
- Discretionary RAUM · $488M to $611MJan 26, 2022 to Mar 18, 2022
- Individual RAUM · $820M to $1.1BJan 26, 2022 to Mar 18, 2022
- Non-discretionary RAUM · $333M to $442MJan 26, 2022 to Mar 18, 2022
- RAUM · $820M to $1.1BJan 26, 2022 to Mar 18, 2022
- Accounts · 68,100 to 78,565Feb 1, 2021 to Apr 30, 2021
- Individual clients · 68,100 to 78,565Feb 1, 2021 to Apr 30, 2021
- Assets in custody · $565M to $820MFeb 1, 2021 to Apr 30, 2021
- Discretionary RAUM · $333M to $488MFeb 1, 2021 to Apr 30, 2021
Signals
21 dated events
- H••••••••• A••••••• reported RAUM $2.0B, up 32% from $1.5B (2025-04-28 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- H••••••••• A••••••• reported RAUM $1.5B, up 26% from $1.2B (2024-04-26 to 2025-04-28)Apr 28, 2025 · RAUM change · derived
- M•••••• J•••• L•••••• (Member Of The Board Of Managers) appeared on Schedule A of H••••••••• A•••••••Sep 27, 2023 · Control person joined · fact
- Don T•••• M•••••• (Member Of The Board Of Managers) no longer on Schedule A of H••••••••• A••••••• (listed 2023-05-12, absent 2023-09-27)Sep 27, 2023 · Control person left · inference
- H•••••••• M•••••• F•••••• (Chief Compliance Officer) no longer on Schedule A of H••••••••• A••••••• (listed 2022-01-26, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- P••••• J••••• A•••••••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• A•••••••Mar 18, 2022 · Control person joined · fact
- H••••••••• A••••••• reported RAUM $1.1B, up 28% from $820.2M (2022-01-26 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- H•••••••• M•••••• F•••••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• A•••••••Jan 26, 2022 · Control person joined · fact
- C•••• D•••• W••••• (Chief Compliance Officer) no longer on Schedule A of H••••••••• A••••••• (listed 2021-12-06, absent 2022-01-26)Jan 26, 2022 · Control person left · inference
- G•••• D•••• M••• (Member Of The Board Of Managers) no longer on Schedule A of H••••••••• A••••••• (listed 2021-02-01, absent 2021-04-30)Apr 30, 2021 · Control person left · inference
- Don T•••• M•••••• (Member Of The Board Of Managers) appeared on Schedule A of H••••••••• A•••••••Apr 30, 2021 · Control person joined · fact
- H••••••••• A••••••• reported RAUM $820.2M, up 45% from $565.3M (2021-02-01 to 2021-04-30)Apr 30, 2021 · RAUM change · derived
- J••• M••••• C•••••• (Chief Compliance Officer) no longer on Schedule A of H••••••••• A••••••• (listed 2020-08-13, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- C•••• D•••• W••••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• A•••••••Feb 1, 2021 · Control person joined · fact
- J••• M•••• F••••••••• (Chief Compliance Officer) no longer on Schedule A of H••••••••• A••••••• (listed 2020-06-29, absent 2020-08-13)Aug 13, 2020 · Control person left · inference
- J••• M••••• C•••••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• A•••••••Aug 13, 2020 · Control person joined · fact
- H••••••••• A••••••• reported RAUM $565.3M, up 55% from $364.2M (2019-04-30 to 2020-04-29)Apr 29, 2020 · RAUM change · derived
- H••• R•••••• D•••• (Chief Compliance Officer / Director Of Corporate Compliance And Ethics) no longer on Schedule A of H••••••••• A••••••• (listed 2019-04-30, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- J••• M•••• F••••••••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• A•••••••Apr 29, 2020 · Control person joined · fact
- H••••••••• A••••••• reported RAUM $274.3M, up 124% from $122.2M (2017-05-01 to 2018-04-30)Apr 30, 2018 · RAUM change · derived
- H••••••••• A••••••• filed its initial SEC registration (Form ADV)Apr 22, 2013 · 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 phone
- 801-508-3248reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-508-3248reportedpublic record, Form ADV, Mar 25, 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
- $2.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026