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
P•••••••• L••••• F•••••••• S•••••••
Legal name P•••••••• L••••• F•••••••• S•••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape May 23, 2025 · 2 filings
SEC status approved since May 15, 2025
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$148M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$158M as of Mar 5, 2026
May 23, 2025$130M then
HNW client RAUM$96.3M as of Mar 5, 2026
May 23, 2025$73.5M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
May 23, 20252 then
Employees (5.A)3 as of Mar 5, 2026
May 23, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 5, 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
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $387,505derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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$96.3M61%
- Individuals$51.9M33%
- Pension and profit-sharing plans$4.7M3.0%
- Corporations and businesses$3.9M2.5%
- Charitable organizations$1.3M0.8%
- Individual clients
- 183reported
- HNW clients
- 62reported
- Pension plan clients
- 3reported
- Charitable clients
- 5reported
- Accounts
- 408reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• T•• B••••• | Lehi, Ut | Jul 26, 2016 | 23 y | 3 |
| R••••• A••• P•••••• | Lehi, Ut | Mar 22, 2021 | 25 y | 0 |
| R••• B••••• | Lehi, Ut | Mar 4, 2026 | 16 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 headcount1 left over 36 months
Left, latest
- B••••••• L•• S•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 19, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••••• T•• B••••• from W•••• F•••• A•••••••Jul 26, 2016 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R••••••• T•• · President/Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lehi, Ut · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 465 to 408May 23, 2025 to Mar 5, 2026
- Advisory employees · 2 to 3May 23, 2025 to Mar 5, 2026
- HNW clients · 43 to 62May 23, 2025 to Mar 5, 2026
- Individual clients · 185 to 183May 23, 2025 to Mar 5, 2026
- Pension plan clients · 2 to 3May 23, 2025 to Mar 5, 2026
- Employees · 2 to 3May 23, 2025 to Mar 5, 2026
- State-registered IARs · 2 to 3May 23, 2025 to Mar 5, 2026
- Discretionary RAUM · $130M to $158MMay 23, 2025 to Mar 5, 2026
- HNW RAUM · $73.5M to $96.3MMay 23, 2025 to Mar 5, 2026
- Individual RAUM · $49.2M to $51.9MMay 23, 2025 to Mar 5, 2026
- Pension RAUM · $3.6M to $4.7MMay 23, 2025 to Mar 5, 2026
- RAUM · $130M to $158MMay 23, 2025 to Mar 5, 2026
Signals
1 dated events
- B••••••• L•• S•••• left P•••••••• L••••• F•••••••• S••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-08-11)Feb 19, 2024 · Advisor changed firm · 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
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-753-5639reportedpublic record, Form ADV, Mar 5, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026