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
S••••••••• F•••••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 14, 2022 · 7 filings
SEC status approved since May 13, 2022
RAUM
$367M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$365M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$184M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$367M as of Mar 31, 2026
Mar 23, 2023$157M then
HNW client RAUM$342M as of Mar 31, 2026
Mar 23, 2023$137M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 23, 20233 then
Employees (5.A)3 as of Mar 31, 2026
Mar 23, 20233 then
Private funds: no history
RAUM +30% over the last fiscal year+33% a year over threeIARs 2 to 3offices 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $699,255derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%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, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$342M93%
- Individuals$23.8M6.5%
- Pension and profit-sharing plans$1.1M0.3%
- Charitable organizations$542,0700.1%
- Individual clients
- 34reported
- HNW clients
- 66reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 525reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••• S••••••Certified Financial Planner | Lehi, Ut | Mar 31, 2016 | 14 y | 2 |
| K••• D•••• W•••••• | Lehi, Ut | Sep 29, 2021 | 13 y | 6 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount3 left over 36 months
Left, latest
- B••• M•••••• K••• to B•••• V•••••Aug 25, 2026 · RIA to a state-registered adviser
- G•••• P••••••• F••••• to C••••••• P•••••••May 9, 2024 · RIA to RIA
- K•••• D•••••• to B••••• W•••• P•••••••Nov 10, 2023 · Other
Joined, latest
- B••• M•••••• K••• from S••••••• M••••• L••Jun 6, 2025 · RIA to RIA
- G•••• P••••••• F••••• from M••••••Jul 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- K•••• D•••••• from C••••••••• F•••••••• N••••••Aug 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- K••• D•••• W•••••• from I••••••• W••••• M••••••••• L••Sep 29, 2021 · RIA to RIA
- J•••• R•••• S•••••• from T•• M••••• W••••• G••••Mar 31, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• R•••• · Managing Membercontrolsince 12/2015 · owns 75% or more
- W••••••• K•••• D•••• · Operations Manager/Chief Compliance Officercontrolsince 01/2022 · owns 10% to 25%
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 | 2 | 0 | 1 | ||
| Coram, Mt | 0 | 0 | 0 | ||
| Louisville, Ky | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 460 to 525Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 28, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Mar 31, 2026
- HNW clients · 58 to 66Mar 28, 2025 to Mar 31, 2026
- Individual clients · 32 to 34Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · unset to 1.0Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Mar 28, 2025 to Mar 31, 2026
- Other offices · 2 to 3Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $275M to $361MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $262M to $342MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $18.4M to $23.8MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.0M to $6.3MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $696,964 to $1.1MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2025 to Mar 31, 2026
- RAUM · $281M to $367MMar 28, 2025 to Mar 31, 2026
- Accounts · 472 to 460Mar 15, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2Mar 15, 2024 to Mar 28, 2025
- HNW clients · 51 to 58Mar 15, 2024 to Mar 28, 2025
- Individual clients · 42 to 32Mar 15, 2024 to Mar 28, 2025
- Employees · 4 to 3Mar 15, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 15, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 2Mar 15, 2024 to Mar 28, 2025
- Other offices · 4 to 2Mar 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $222M to $275MMar 15, 2024 to Mar 28, 2025
- HNW RAUM · $208M to $262MMar 15, 2024 to Mar 28, 2025
- Individual RAUM · $18.4M to $18.4MMar 15, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $5.8M to $6.0MMar 15, 2024 to Mar 28, 2025
- Pension RAUM · $435,456 to $696,964Mar 15, 2024 to Mar 28, 2025
- RAUM · $227M to $281MMar 15, 2024 to Mar 28, 2025
- Accounts · 397 to 472Dec 4, 2023 to Mar 15, 2024
- HNW clients · 36 to 51Dec 4, 2023 to Mar 15, 2024
- Individual clients · 41 to 42Dec 4, 2023 to Mar 15, 2024
- Employees · 3 to 4Dec 4, 2023 to Mar 15, 2024
- Discretionary RAUM · $157M to $222MDec 4, 2023 to Mar 15, 2024
- HNW RAUM · $137M to $208MDec 4, 2023 to Mar 15, 2024
- Individual RAUM · $19.4M to $18.4MDec 4, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $5.8MDec 4, 2023 to Mar 15, 2024
- Pension RAUM · $274,065 to $435,456Dec 4, 2023 to Mar 15, 2024
- RAUM · $157M to $227MDec 4, 2023 to Mar 15, 2024
- Other offices · 2 to 4Mar 23, 2023 to Dec 4, 2023
Signals
4 dated events
- B••• M•••••• K••• left S••••••••• F•••••••• P••••••• L•• for B•••• V••••• (registered 2026-08-10)Aug 25, 2026 · Advisor changed firm · fact
- G•••• P••••••• F••••• left S••••••••• F•••••••• P••••••• L•• for C••••••• P••••••• (registered 2024-05-06)May 9, 2024 · Advisor changed firm · fact
- K•••• D•••••• left S••••••••• F•••••••• P••••••• L•• for B••••• W•••• P••••••• (registered 2024-10-11)Nov 10, 2023 · Advisor changed firm · fact
- S••••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@switchpointfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-753-8538reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801.753.8538reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- switchpointfinancial.com/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
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026