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
D•••• W••••• A•••••••
Legal name D•••• W••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Apr 13, 2018 · 25 filings
SEC status approved since May 11, 2018
RAUM
$1.5B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$1.5B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$88.3M
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.5B as of Jul 17, 2026
Mar 15, 2019$463M then
HNW client RAUM$1.3B as of Jul 17, 2026
Mar 15, 2019$401M then
State-registered IARs (5.B.3)13 as of Jul 17, 2026
Mar 15, 20196 then
Employees (5.A)17 as of Jul 17, 2026
Mar 15, 20198 then
Private funds: no history
RAUM -31% over the last fiscal year-6.4% a year over threeIARs 16 to 13offices 1 to 2
Practice profile
derived from the filing of Sep 2, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $88.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $357,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $211M, 329 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
- 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)
- 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
- High-net-worth individuals$1.3B86%
- Individuals$170M11%
- Pension and profit-sharing plans$40.7M2.7%
- Corporations and businesses$780,8410.1%
- Charitable organizations$302,2860.0%
- Individual clients
- 744reported
- HNW clients
- 329reported
- Pension plan clients
- 36reported
- Charitable clients
- 1reported
- Accounts
- 4,196reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $211M for 329 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• C•••••• C••••Certified Financial Planner | Lehi, Ut | Feb 6, 2015 | 20 y | 4 |
| G•••• M••• R•••• | Sandy, Ut | Mar 27, 2019 | 28 y | 1 |
| M•••••• D••••• R•••Certified Financial Planner | Lehi, Ut | Jan 11, 2021 | 14 y | 2 |
| J•••••• C••• I•••••••• | Lehi, Ut | Jan 13, 2021 | 39 y | 8 |
| L••• A• G•••••• | Lehi, Ut | Mar 26, 2021 | 43 y | 3 |
| M•••••• J••••••• W•••• | Lehi, Ut | Nov 5, 2021 | 13 y | 2 |
| B•••••• M• R••••• | Lehi, Ut | Oct 11, 2022 | 26 y | 7 |
| J••••• D•••• O••••• | Lehi, Ut | Jul 10, 2024 | 12 y | 0 |
| D••••• M••• W••••• | Lehi, Ut | Oct 16, 2024 | 15 y | 1 |
| J••••• P••• C•••••Chartered Financial Analyst | Lehi, Ut | Dec 20, 2024 | 9 y | 1 |
| K•••• B•••• K••••Certified Financial Planner | Lehi, Ut | Jan 22, 2025 | 10 y | 1 |
| A••• K••••• J•••• | Lehi, Ut | Feb 18, 2025 | 18 y | 1 |
| J••••• M• R••••• | Lehi, Ut | Mar 27, 2025 | 11 y | 0 |
| J•••• K••• H•••••Chartered Financial Analyst | Lehi, Ut | May 30, 2025 | 11 y | 0 |
| E•••• S•••••• P•••••• | Lehi, Ut | Dec 2, 2025 | 10 y | 1 |
| S•••• M••• B•••••••• | South Jordan, Ut | May 14, 2026 | 18 y | 9 |
| D••• J••••• J••••• | Lehi, Ut | Sep 2, 2026 | 10 y | 2 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 5.9% of current headcount9 left over 36 months
Left, latest
- B••••••• K•••• C••••••• to D•••••••• A••••••• S•••••••• L••Oct 15, 2025 · RIA to affiliated broker-dealer or bank
- J•• L••••• W•••• to S••••• I••••••••• A•••••••• L••Aug 1, 2025 · RIA to RIA
- T••••• M• V••••• to O••••• W••••• M•••••••••May 12, 2025 · RIA to a newly registered adviser
- A••• L• F••••••• to E••••••• W•••••Mar 28, 2025 · RIA to a newly registered adviser
- A••••••• L•••• C••••• to E••••••• W•••••Mar 28, 2025 · RIA to a newly registered adviser
- R•••••• K••• B•••• to H••••••••• A•••• M••••••••• L••Dec 16, 2024 · RIA to a newly registered adviser
- C•••• G••••• D•••• to H••••••••• A•••• M••••••••• L••Dec 16, 2024 · RIA to a newly registered adviser
- D•••• P•••• to E••••••• W•••••Oct 14, 2024 · RIA to a newly registered adviser
- T••• S• S•••••• to M• H••••••• S••••••••• I•••Oct 4, 2023 · RIA to affiliated broker-dealer or bank
- B••••••• J•••• M••••••• to T••••••••• C••••••• L••Mar 28, 2022 · RIA to RIA
- J•••• S•••••• to V••••••• A•••••••• I•••Feb 24, 2021 · RIA to affiliated broker-dealer or bank
- A•••••••• P•••••••• C••• to P••••••• W••••• A•••••••• L••Oct 1, 2018 · RIA to RIA
Joined, latest
- D••• J••••• J••••• from B••••• P••••• A•••••••• L••Sep 2, 2026 · RIA to RIA
- S•••• M••• B•••••••• from A•••••• C•••••• L••May 14, 2026 · Other
- E•••• S•••••• P•••••• from C•••• A•••••••Dec 2, 2025 · RIA to RIA
- A••• K••••• J•••• from K••••• T••••• M••••••••• L••Feb 18, 2025 · RIA to RIA
- K•••• B•••• K•••• from K••••• T••••• M••••••••• L••Jan 22, 2025 · RIA to RIA
- J••••• P••• C••••• from K••••• T••••• M••••••••• L••Dec 20, 2024 · RIA to RIA
- D••••• M••• W••••• from F•••••••• W••••• M••••••••• L••Oct 16, 2024 · RIA to RIA
- B•••••• M• R••••• from F•••••••• W••••• M••••••••• L••Oct 11, 2022 · RIA to RIA
- B••••••• K•••• C••••••• from F•••••••• W••••• M••••••••• L••Oct 11, 2022 · RIA to RIA
- J•• L••••• W•••• from F•••••••• W••••• M••••••••• L••Oct 11, 2022 · RIA to RIA
- A••• L• F••••••• from M••••• S••••••Aug 24, 2022 · Wirehouse to independent RIA
- M•••••• J••••••• W•••• from W•••• F•••• A•••••••Nov 5, 2021 · Wirehouse to independent RIA
- L••• A• G•••••• from M••••••• C•••••• L••Mar 26, 2021 · Other
- T••• S• S•••••• from M••••••• C•••••• L••Mar 10, 2021 · Other
- A••••••• L•••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 8, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E••••••• W•••••Mar 28, 2025 · Lehi, Ut
- 2 joined from K••••• T••••• M••••••••• L••May 21, 2025 · Orem, Ut
- 2 joined from F•••••••• W••••• M••••••••• L••Dec 16, 2022 · Draper, Ut
- 3 joined from M••••••• C•••••• L••Jan 7, 2021 · Lehi, Ut · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• L•••••• C•••••• · Presidentcontrolsince 01/2015 · owns less than 5%
- P••••••••• M••••••• J•••• · Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
- C••••• L•••••• C•••••• · Managing Membercontrolsince 01/2008 · owns 75% or more of C•••• F••••••••• L••
- G•••••••• P•••• A•••••• · Chief Financial Officersince 03/2025 · owns less than 5%
- H•••••• R••••• W•••••• · Chief Operating Officersince 03/2025 · owns less than 5%
- H•••••• J••••• K••• · Chief Investment Officersince 02/2025 · owns less than 5%
Entity owners
- C•••• F••••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- D•••• A••••••••• S•••••••insurancen
- D•••• I•••••••• S•••••••real estatey
- J•••••••• L•• G••••n
- Y••• P••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lehi, Ut · principal | 17 | 3 | 1 | ||
| Sandy, Ut | 2 | 0 | 0 | ||
| Gig Harbor, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 2, 2026P••••••••• M••••••• J•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2018-04-13 and 2026-09-02peers: independent wealth managers, $1B to $5B (1,362)
- RAUM down 25 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $2,175,572,827 to $1,500,752,553 (-31.0%) between the annual amendments of 2025-03-17 and 2026-04-27; the peer median change was +17.0% (1298 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 0.5% percentile
- employee count dropChange between filings · filing Apr 27, 2026employees (Item 5.A) moved from 28.0 to 17.0 (-39.0%) between the annual amendments of 2025-03-17 and 2026-04-27; the peer median change was +4.0% (1050 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 0.9% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 17, 2026 to Sep 2, 2026
- Other offices · 1 to 2Jul 17, 2026 to Sep 2, 2026
- Succession · false to unsetJul 17, 2026 to Sep 2, 2026
- Accounts · 4,487 to 4,196Oct 30, 2025 to Mar 19, 2026
- Advisory employees · 26 to 15Oct 30, 2025 to Mar 19, 2026
- Charity clients · 3 to 1Oct 30, 2025 to Mar 19, 2026
- Corporate clients · 7 to 2Oct 30, 2025 to Mar 19, 2026
- HNW clients · 396 to 329Oct 30, 2025 to Mar 19, 2026
- Individual clients · 821 to 744Oct 30, 2025 to Mar 19, 2026
- Pension plan clients · 157 to 36Oct 30, 2025 to Mar 19, 2026
- Assets in custody · $273M to $211MOct 30, 2025 to Mar 19, 2026
- Employees · 28 to 17Oct 30, 2025 to Mar 19, 2026
- State-registered IARs · 16 to 13Oct 30, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.8B to $1.5BOct 30, 2025 to Mar 19, 2026
- HNW RAUM · $1.6B to $1.3BOct 30, 2025 to Mar 19, 2026
- Individual RAUM · $182M to $170MOct 30, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $350M to $40.0MOct 30, 2025 to Mar 19, 2026
- Pension RAUM · $340M to $40.7MOct 30, 2025 to Mar 19, 2026
- RAUM · $2.2B to $1.5BOct 30, 2025 to Mar 19, 2026
- Accounts · 3,750 to 4,487Mar 14, 2024 to Mar 17, 2025
- Advisory employees · 15 to 26Mar 14, 2024 to Mar 17, 2025
- Corporate clients · 6 to 7Mar 14, 2024 to Mar 17, 2025
- HNW clients · 331 to 396Mar 14, 2024 to Mar 17, 2025
- Individual clients · 619 to 821Mar 14, 2024 to Mar 17, 2025
- Pension plan clients · 139 to 157Mar 14, 2024 to Mar 17, 2025
- Assets in custody · $270M to $273MMar 14, 2024 to Mar 17, 2025
- Employees · 15 to 28Mar 14, 2024 to Mar 17, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2024 to Mar 17, 2025
- State-registered IARs · 15 to 16Mar 14, 2024 to Mar 17, 2025
- Other offices · 3 to 1Mar 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $1.5B to $1.8BMar 14, 2024 to Mar 17, 2025
- HNW RAUM · $1.5B to $1.6BMar 14, 2024 to Mar 17, 2025
- Individual RAUM · $119M to $182MMar 14, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $528M to $350MMar 14, 2024 to Mar 17, 2025
- Pension RAUM · $326M to $340MMar 14, 2024 to Mar 17, 2025
- RAUM · $2.0B to $2.2BMar 14, 2024 to Mar 17, 2025
- Accounts · 3,292 to 3,750Dec 5, 2023 to Mar 14, 2024
- Advisory employees · 13 to 15Dec 5, 2023 to Mar 14, 2024
- Charity clients · 2 to 3Dec 5, 2023 to Mar 14, 2024
- Corporate clients · 5 to 6Dec 5, 2023 to Mar 14, 2024
Signals
20 dated events
- D•••• W••••• A••••••• reported RAUM $1.5B, down 31% from $2.2B (2025-10-30 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- B••••••• K•••• C••••••• left D•••• W••••• A••••••• for D•••••••• A••••••• S•••••••• L•• (registered 2025-10-15)Oct 15, 2025 · Advisor changed firm · fact
- J•• L••••• W•••• left D•••• W••••• A••••••• for S••••• I••••••••• A•••••••• L•• (registered 2025-08-04)Aug 1, 2025 · Advisor changed firm · fact
- 2 advisors left K••••• T••••• M••••••••• L•• (Orem, UT) for D•••• W••••• A••••••• on the same dayMay 21, 2025 · Team lift-out · derived
- T••••• M• V••••• left D•••• W••••• A••••••• for O••••• W••••• M••••••••• (registered 2025-01-14)May 12, 2025 · Advisor changed firm · fact
- A••• L• F••••••• left D•••• W••••• A••••••• for E••••••• W••••• (registered 2025-03-27)Mar 28, 2025 · Advisor changed firm · fact
- A••••••• L•••• C••••• left D•••• W••••• A••••••• for E••••••• W••••• (registered 2025-03-27)Mar 28, 2025 · Advisor changed firm · fact
- 2 advisors left D•••• W••••• A••••••• (Lehi, UT) for E••••••• W••••• on the same dayMar 28, 2025 · Team lift-out · derived
- C•••• G••••• D•••• left D•••• W••••• A••••••• for H••••••••• A•••• M••••••••• L•• (registered 2024-10-01)Dec 16, 2024 · Advisor changed firm · fact
- R•••••• K••• B•••• left D•••• W••••• A••••••• for H••••••••• A•••• M••••••••• L•• (registered 2024-10-08)Dec 16, 2024 · Advisor changed firm · fact
- D•••• P•••• left D•••• W••••• A••••••• for E••••••• W••••• (registered 2025-04-29)Oct 14, 2024 · Advisor changed firm · fact
- T••• S• S•••••• left D•••• W••••• A••••••• for M• H••••••• S••••••••• I••• (registered 2023-10-06)Oct 4, 2023 · Advisor changed firm · fact
- D•••• W••••• A••••••• reported RAUM $1.8B, up 49% from $1.2B (2022-10-31 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- 2 advisors left F•••••••• W••••• M••••••••• L•• (Draper, UT) for D•••• W••••• A••••••• within 4 daysDec 16, 2022 · Team lift-out · derived
- D•••• W••••• A••••••• reported RAUM $1.2B, up 46% from $843.1M (2022-02-14 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- B••••••• J•••• M••••••• left D•••• W••••• A••••••• for T••••••••• C••••••• L•• (registered 2021-11-30)Mar 28, 2022 · Advisor changed firm · fact
- D•••• W••••• A••••••• reported RAUM $843.1M, up 42% from $592.3M (2020-07-16 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- D•••• W••••• A••••••• reported RAUM $592.3M, up 28% from $463.5M (2019-03-15 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- D•••• W••••• A••••••• reported RAUM $463.5M, up 156% from $181.0M (2018-10-19 to 2019-03-15)Mar 15, 2019 · RAUM change · derived
- D•••• W••••• A••••••• filed its initial SEC registration (Form ADV)Apr 13, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••• W••••• A••••••• · Family Officesshared crd · office
- D•••• W••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@drivewealthadvisers.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-901-6150reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/D••••-WEALTH-ADVISERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-901-6150reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- drivewealthadvisers.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $88.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026