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••••••• A•••••••

Former SEC-registered adviserSalt Lake City, UtahCRD 282446SEC 801-107255IAPD
Legal name C••••••• A•••••••• L••
Latest filing Apr 30, 2018
First filing on the tape Feb 2, 2016 · 9 filings
RAUM
$428M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.0%
$21.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$443M as of Mar 26, 2018
Mar 31, 2017$468M then
HNW client RAUM: $22.0M
State-registered IARs (5.B.3)4 as of Mar 26, 2018
Mar 31, 20172 then
Employees (5.A)8 as of Mar 26, 2018
Mar 31, 201710 then
Private funds: no history
RAUM -8.5% over the last fiscal yearIARs 2 to 5
Practice profile
derived from the filing of Apr 30, 2018; every figure names its basis
RAUM per advisor
$85.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$4.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.5%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$428M, 13 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$407M95%
  • High-net-worth individuals$21.6M5.0%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
89reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$428M for 13 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E•••••• S••••••• P••••••• · Member And Chief Executive Officercontrol
    since 01/2016 · owns 25% to 50%
  • S••••••• H••••••• E••••• · Managing Director/Membercontrol
    since 05/2016 · owns 5% to 10%
  • T•••••• R••••••• K•••• · Managing Director/Membercontrol
    since 05/2016 · owns 10% to 25%
  • E•••••• C•••••• H••• · Trusteecontrol
    since 04/2016 · owns 75% or more of R••••• Q•••••• A•• H••• E••••• F••••• T••••
  • D•••••• S•••••• M••••• · Chief Compliance Officer
    since 01/2016 · owns less than 5%
  • E•••••• C•••••• H••• · Member
    since 01/2016 · owns 5% to 10%
  • E•••••• K••••••••• A•• · Member
    since 01/2016 · owns 5% to 10%
  • E•••••• L•••• E•••• · Member
    since 01/2016 · owns 5% to 10%
  • H•••••• D••••• R••• · Managing Director/Head Of Investor Relations
    since 03/2018 · owns less than 5%
Entity owners
  • R••••• Q•••••• A•• H••• E••••• F••••• T•••• · Trust/Member
    direct · owns 10% to 25%
  • R••••• Q•••••• A•• H••• E••••• F••••• T•••• · Trust
    indirect · owns 75% or more of R••••• Q•••••• A•• H••• E••••• F••••• T••••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Charity clients · unset to 6.0
    Mar 26, 2018 to Apr 30, 2018
  • HNW clients · 8 to 7
    Mar 26, 2018 to Apr 30, 2018
  • Assets in custody · $443M to $428M
    Mar 26, 2018 to Apr 30, 2018
  • Insurance-licensed employees · 3 to 4
    Mar 26, 2018 to Apr 30, 2018
  • State-registered IARs · 4 to 5
    Mar 26, 2018 to Apr 30, 2018
  • Discretionary RAUM · $443M to $428M
    Mar 26, 2018 to Apr 30, 2018
  • HNW RAUM · $22.0M to $21.6M
    Mar 26, 2018 to Apr 30, 2018
  • RAUM · $443M to $428M
    Mar 26, 2018 to Apr 30, 2018
  • Accounts · 48 to 89
    Oct 16, 2017 to Mar 26, 2018
  • Advisory employees · 3 to 5
    Oct 16, 2017 to Mar 26, 2018
  • HNW clients · 6 to 8
    Oct 16, 2017 to Mar 26, 2018
  • Assets in custody · $468M to $443M
    Oct 16, 2017 to Mar 26, 2018
  • Employees · 7 to 8
    Oct 16, 2017 to Mar 26, 2018
  • Insurance-licensed employees · 0 to 3
    Oct 16, 2017 to Mar 26, 2018
  • State-registered IARs · 3 to 4
    Oct 16, 2017 to Mar 26, 2018
  • Discretionary RAUM · $468M to $443M
    Oct 16, 2017 to Mar 26, 2018
  • HNW RAUM · $28.0M to $22.0M
    Oct 16, 2017 to Mar 26, 2018
  • RAUM · $468M to $443M
    Oct 16, 2017 to Mar 26, 2018
  • Accounts · 31 to 48
    Apr 27, 2017 to Oct 16, 2017
  • Advisory employees · 2 to 3
    Apr 27, 2017 to Oct 16, 2017
  • HNW clients · unset to 6.0
    Apr 27, 2017 to Oct 16, 2017
  • Assets in custody · $464M to $468M
    Apr 27, 2017 to Oct 16, 2017
  • Employees · 10 to 7
    Apr 27, 2017 to Oct 16, 2017
  • State-registered IARs · 2 to 3
    Apr 27, 2017 to Oct 16, 2017
  • Other offices · unset to 0.0
    Apr 27, 2017 to Oct 16, 2017
  • Discretionary RAUM · $464M to $468M
    Apr 27, 2017 to Oct 16, 2017
  • HNW RAUM · unset to 27955314.0
    Apr 27, 2017 to Oct 16, 2017
  • RAUM · $464M to $468M
    Apr 27, 2017 to Oct 16, 2017
  • Accounts · 23 to 31
    Mar 31, 2017 to Apr 27, 2017
  • Assets in custody · $468M to $464M
    Mar 31, 2017 to Apr 27, 2017
  • Discretionary RAUM · $170M to $464M
    Mar 31, 2017 to Apr 27, 2017
  • Non-discretionary RAUM · $299M to $0
    Mar 31, 2017 to Apr 27, 2017
  • RAUM · $468M to $464M
    Mar 31, 2017 to Apr 27, 2017
  • Accounts · 21 to 23
    Jan 23, 2017 to Mar 31, 2017
  • Assets in custody · $459M to $468M
    Jan 23, 2017 to Mar 31, 2017
  • Discretionary RAUM · $160M to $170M
    Jan 23, 2017 to Mar 31, 2017
  • Non-discretionary RAUM · $300M to $299M
    Jan 23, 2017 to Mar 31, 2017
  • RAUM · $459M to $468M
    Jan 23, 2017 to Mar 31, 2017
  • Accounts · 22 to 21
    Jun 14, 2016 to Jan 23, 2017
  • Assets in custody · $452M to $459M
    Jun 14, 2016 to Jan 23, 2017
Signals
2 dated events
  • 2 advisors left C••••••• G••••• L•• (Salt Lake City, UT) for C••••••• A••••••• on the same day
    Dec 31, 2022 · Team lift-out · derived
  • C••••••• A••••••• filed its initial SEC registration (Form ADV)
    Feb 2, 2016 · 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