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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• W••••• M•••••••••
Latest filing May 19, 2026
First filing on the tape Feb 12, 2021 · 18 filings
SEC status approved since Mar 12, 2021
RAUM
$211M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$211M as of May 19, 2026
Feb 23, 2022$128M then
HNW client RAUM$132M as of May 19, 2026
Feb 23, 2022$55.9M then
State-registered IARs (5.B.3)3 as of May 19, 2026
Feb 23, 20222 then
Employees (5.A)5 as of May 19, 2026
Feb 23, 20224 then
Private funds1 as of Jan 24, 2023
Feb 23, 20221 then
RAUM +12% over the last fiscal year+14% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 19, 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
- RAUM per advisor
- $42.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $231,769derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -40%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$132M63%
- Individuals$78.6M37%
- Individual clients
- 337reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 910reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• R••••• L•••••Certified Financial Planner | Salt Lake City, Ut | Jul 28, 2021 | 25 y | 2 |
| M•••••• R••••• W•••••••Certified Financial Planner | Salt Lake City, Ut | Jul 28, 2021 | 20 y | 2 |
| K••• D••••• W••••••• | Salt Lake City, Ut | Sep 7, 2021 | 10 y | 0 |
| C•••• B•••• | Salt Lake City, Ut | Jul 25, 2024 | 15 y | 0 |
| L••• W••••••• | Salt Lake City, Ut | Dec 12, 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••• R••••• L••••• from A••••••••• F•••••••• S•••••••• L••Jan 17, 2014 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R••••• W••••••• from A••••••••• F•••••••• S•••••••• L••Jan 14, 2014 · Affiliated broker-dealer or bank to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• P••••••• 1• L•no longer reported | Private Equity Fund | $1.0M | 95 | Feb 12, 2021 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• R•••• R••••• · Chief Compliance Officercontrolsince 10/2013 · owns 75% or more
Related persons
Schedule D 7.A
- R•• A••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 19, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $188,743,323 to $210,909,614, advisors 4 to 3, private clients 685 to 408, offices 0 to 0 (2025-03-11 to 2026-03-19)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 19, 2026individual and HNW clients (Item 5.D) moved from 685.0 to 408.0 (-40.0%) between the annual amendments of 2025-03-11 and 2026-03-19; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.6% percentile
What changed
consecutive filings, newest first
- Accounts · 1,125 to 910Mar 11, 2025 to Mar 19, 2026
- HNW clients · 57 to 71Mar 11, 2025 to Mar 19, 2026
- Individual clients · 628 to 337Mar 11, 2025 to Mar 19, 2026
- Pension plan clients · 4 to 0Mar 11, 2025 to Mar 19, 2026
- Employees · 6 to 5Mar 11, 2025 to Mar 19, 2026
- State-registered IARs · 4 to 3Mar 11, 2025 to Mar 19, 2026
- Discretionary RAUM · $165M to $187MMar 11, 2025 to Mar 19, 2026
- HNW RAUM · $98.4M to $132MMar 11, 2025 to Mar 19, 2026
- Individual RAUM · $82.6M to $78.6MMar 11, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $23.6M to $24.2MMar 11, 2025 to Mar 19, 2026
- Pension RAUM · $7.8M to $0Mar 11, 2025 to Mar 19, 2026
- RAUM · $189M to $211MMar 11, 2025 to Mar 19, 2026
- Accounts · 865 to 1,125Dec 26, 2024 to Mar 11, 2025
- HNW clients · 58 to 57Dec 26, 2024 to Mar 11, 2025
- Individual clients · 414 to 628Dec 26, 2024 to Mar 11, 2025
- Employees · 4 to 6Dec 26, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 251-500Dec 26, 2024 to Mar 11, 2025
- State-registered IARs · 3 to 4Dec 26, 2024 to Mar 11, 2025
- Discretionary RAUM · $141M to $165MDec 26, 2024 to Mar 11, 2025
- HNW RAUM · $83.5M to $98.4MDec 26, 2024 to Mar 11, 2025
- Individual RAUM · $72.0M to $82.6MDec 26, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $22.8M to $23.6MDec 26, 2024 to Mar 11, 2025
- Pension RAUM · $7.9M to $7.8MDec 26, 2024 to Mar 11, 2025
- RAUM · $163M to $189MDec 26, 2024 to Mar 11, 2025
- Accounts · 932 to 865Oct 25, 2023 to Feb 9, 2024
- HNW clients · 39 to 58Oct 25, 2023 to Feb 9, 2024
- Individual clients · 457 to 414Oct 25, 2023 to Feb 9, 2024
- Pension plan clients · 3 to 4Oct 25, 2023 to Feb 9, 2024
- Assets in custody · 3500000.0 to unsetOct 25, 2023 to Feb 9, 2024
- Custody of client assets · true to falseOct 25, 2023 to Feb 9, 2024
- Private funds · 1 to unsetOct 25, 2023 to Feb 9, 2024
- Discretionary RAUM · $127M to $141MOct 25, 2023 to Feb 9, 2024
- HNW RAUM · $67.1M to $83.5MOct 25, 2023 to Feb 9, 2024
- Individual RAUM · $69.4M to $72.0MOct 25, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $14.1M to $22.8MOct 25, 2023 to Feb 9, 2024
- Pension RAUM · $5.0M to $7.9MOct 25, 2023 to Feb 9, 2024
- RAUM · $142M to $163MOct 25, 2023 to Feb 9, 2024
- Advisory employees · 2 to 3Jan 24, 2023 to Jul 19, 2023
- State-registered IARs · 2 to 3Jan 24, 2023 to Jul 19, 2023
- Accounts · 729 to 932Oct 14, 2022 to Jan 24, 2023
Signals
1 dated events
- R•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••• W••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- s••••••@r••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 385-351-0200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 385-351-0200reportedpublic record, Form ADV, May 19, 2026
- Contact form
- r••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r••••••••.comreportedpublished 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
- $42.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026