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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Former SEC-registered adviser
C•••••• W••••• M••••••••• L••
Latest filing Apr 3, 2024
First filing on the tape Feb 12, 2019 · 19 filings
RAUM
$503M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
68%
$341M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$503M as of Apr 1, 2024
Feb 18, 2020$273M then
HNW client RAUM$205M as of Apr 1, 2024
Feb 18, 2020$156M then
State-registered IARs (5.B.3)5 as of Apr 1, 2024
Feb 18, 20203 then
Employees (5.A)6 as of Apr 1, 2024
Feb 18, 20205 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 3, 2024; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $244,405derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M41%
- Pension and profit-sharing plans$154M31%
- Individuals$136M27%
- Corporations and businesses$7.8M1.6%
- Individual clients
- 468reported
- HNW clients
- 87reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 2,059reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••• B• G•••••• to D•••••••• W••••• M••••••••• L••Jul 16, 2024 · RIA to RIA
- T••• M•••••• N•••••• to D•••••••• W••••• M••••••••• L••Jul 16, 2024 · RIA to RIA
- B•• B••••••• to D•••••••• W••••• M••••••••• L••Jul 16, 2024 · RIA to RIA
- J••••• W•••••• A•••• to D•••••••• W••••• M••••••••• L••Jul 16, 2024 · RIA to RIA
- M•••••• M•• F•••••• to D•••••••• W••••• M••••••••• L••Jul 16, 2024 · RIA to RIA
Joined, latest
- J••••• W•••••• A•••• from T•••• W••••• G•••• L••Sep 8, 2022 · RIA to RIA
- B•• B••••••• from T•••• W••••• G•••• L••Mar 9, 2022 · RIA to RIA
- M•••••• M•• F•••••• from B••••••• R••••••••• A•••••••• L••May 25, 2021 · RIA to RIA
- D•••• B• G•••••• from R•••• C•••••• M••••••••• L••Dec 11, 2014 · Other
- T••• M•••••• N•••••• from R•••• C•••••• M••••••••• L••Dec 11, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for D•••••••• W••••• M••••••••• L••Jul 16, 2024 · Orem, Ut · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D••••• B• · Principalcontrolsince 10/2014 · owns less than 5%
- N••••••• T•••• M•••••• · Chief Compliance Officercontrolsince 10/2014 · owns less than 5%
- G••••••• D••••• B• · Membercontrolsince 05/2010 · owns 75% or more of 1•• V•••••••
- N••••••• T•••• M•••••• · Membercontrolsince 06/2007 · owns 75% or more of N•••••• H•••••••
Entity owners
- 1•• V••••••• · Memberdirect · owns 50% to 75%
- N•••••• H••••••• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Orem, Ut · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,849 to 2,059Jan 24, 2024 to Apr 1, 2024
- Corporate clients · 5 to 6Jan 24, 2024 to Apr 1, 2024
- HNW clients · 82 to 87Jan 24, 2024 to Apr 1, 2024
- Individual clients · 417 to 468Jan 24, 2024 to Apr 1, 2024
- Pension plan clients · 25 to 28Jan 24, 2024 to Apr 1, 2024
- Discretionary RAUM · $319M to $349MJan 24, 2024 to Apr 1, 2024
- HNW RAUM · $215M to $205MJan 24, 2024 to Apr 1, 2024
- Individual RAUM · $101M to $136MJan 24, 2024 to Apr 1, 2024
- Non-discretionary RAUM · $106M to $154MJan 24, 2024 to Apr 1, 2024
- Pension RAUM · $106M to $154MJan 24, 2024 to Apr 1, 2024
- RAUM · $424M to $503MJan 24, 2024 to Apr 1, 2024
- Accounts · 1,613 to 1,849Sep 30, 2022 to Jan 10, 2023
- Individual clients · 346 to 417Sep 30, 2022 to Jan 10, 2023
- Discretionary RAUM · $357M to $319MSep 30, 2022 to Jan 10, 2023
- HNW RAUM · $271M to $215MSep 30, 2022 to Jan 10, 2023
- Individual RAUM · $83.2M to $101MSep 30, 2022 to Jan 10, 2023
- Non-discretionary RAUM · $107M to $106MSep 30, 2022 to Jan 10, 2023
- Pension RAUM · $107M to $106MSep 30, 2022 to Jan 10, 2023
- RAUM · $464M to $424MSep 30, 2022 to Jan 10, 2023
- Advisory employees · 4 to 5Mar 23, 2022 to Mar 23, 2022
- Employees · 5 to 6Mar 23, 2022 to Mar 23, 2022
- State-registered IARs · 4 to 5Mar 23, 2022 to Mar 23, 2022
- Accounts · 1,234 to 1,613Aug 30, 2021 to Jan 28, 2022
- Advisory employees · 3 to 4Aug 30, 2021 to Jan 28, 2022
- Advisory activities · 4 to 5Aug 30, 2021 to Jan 28, 2022
- HNW clients · 60 to 82Aug 30, 2021 to Jan 28, 2022
- Individual clients · 294 to 346Aug 30, 2021 to Jan 28, 2022
- Pension plan clients · 24 to 25Aug 30, 2021 to Jan 28, 2022
- State-registered IARs · 3 to 4Aug 30, 2021 to Jan 28, 2022
- Discretionary RAUM · $235M to $357MAug 30, 2021 to Jan 28, 2022
- HNW RAUM · $185M to $271MAug 30, 2021 to Jan 28, 2022
- Individual RAUM · $47.5M to $83.2MAug 30, 2021 to Jan 28, 2022
- Non-discretionary RAUM · $78.9M to $107MAug 30, 2021 to Jan 28, 2022
- Pension RAUM · $78.9M to $107MAug 30, 2021 to Jan 28, 2022
- RAUM · $313M to $464MAug 30, 2021 to Jan 28, 2022
- Accounts · 1,091 to 1,234Sep 11, 2020 to Jan 25, 2021
- HNW clients · 39 to 60Sep 11, 2020 to Jan 25, 2021
- Pension plan clients · 28 to 24Sep 11, 2020 to Jan 25, 2021
- Commission compensation · true to falseSep 11, 2020 to Jan 25, 2021
- Financial planning clients · 51-100 to 26-50Sep 11, 2020 to Jan 25, 2021
Signals
10 dated events
- M•••••• M•• F•••••• left C•••••• W••••• M••••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-27)Jul 16, 2024 · Advisor changed firm · fact
- B•• B••••••• left C•••••• W••••• M••••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-27)Jul 16, 2024 · Advisor changed firm · fact
- T••• M•••••• N•••••• left C•••••• W••••• M••••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-25)Jul 16, 2024 · Advisor changed firm · fact
- J••••• W•••••• A•••• left C•••••• W••••• M••••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-27)Jul 16, 2024 · Advisor changed firm · fact
- D•••• B• G•••••• left C•••••• W••••• M••••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-25)Jul 16, 2024 · Advisor changed firm · fact
- C•••••• W••••• M••••••••• L••'s advisors moved to D•••••••• W••••• M••••••••• L•• (Orem, UT): 5 of 5 registered, on the same dayJul 16, 2024 · Firm absorbed (people side) · derived
- Emilie Nuttall (Co-Owner) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2023-01-10, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- C•••••• W••••• M••••••••• L•• reported RAUM $463.7M, up 48% from $313.5M (2021-08-30 to 2022-01-28)Jan 28, 2022 · RAUM change · derived
- C•••••• W••••• M••••••••• L•• reported RAUM $272.6M, up 152% from $108.3M (2019-11-08 to 2020-02-18)Feb 18, 2020 · RAUM change · derived
- C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 12, 2019 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026