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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••• W••••• A•••••••
Legal name A•••• W••••• M••••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Jun 21, 2017 · 100 filings
SEC status approved since Jul 24, 2017
RAUM
$566M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$485M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$56.6M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
100 filings and snapshots on the tape
RAUM$566M as of Aug 13, 2026
Feb 7, 2018$174M then
HNW client RAUM$345M as of Aug 13, 2026
Feb 7, 2018$84.2M then
State-registered IARs (5.B.3)10 as of Aug 13, 2026
Feb 7, 20184 then
Employees (5.A)18 as of Aug 13, 2026
Feb 7, 20185 then
Private funds12 as of Aug 13, 2026
Feb 1, 20191 then
RAUM -20% over the last fiscal year+8.4% a year over threeIARs 14 to 10
Practice profile
derived from the filing of Aug 13, 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $56.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $225,766derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$345M61%
- Individuals$141M25%
- Pooled investment vehicles$74.1M13%
- Corporations and businesses$4.6M0.8%
- Charitable organizations$1.8M0.3%
- Pension and profit-sharing plans$171,8350.0%
- Individual clients
- 557reported
- HNW clients
- 134reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 2,506reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.86 fund_share=0.13 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••• A••••Certified Financial Planner | Logan, Ut | Sep 12, 2017 | 31 y | 4 |
| P•••••• C••••• M•••••Chartered Financial Analyst | Logan, Ut | Apr 6, 2020 | 18 y | 1 |
| D•••••• B•••••• P•••••••Certified Financial Planner | Logan, Ut | Aug 28, 2020 | 11 y | 1 |
| D•••• P•••••• K••••••Chartered Financial Analyst | Logan, Ut | May 17, 2022 | 29 y | 2 |
| M••••••• J•••• G•••••Certified Financial Planner | Logan, Ut | Aug 17, 2022 | 10 y | 0 |
| R••••• B•••• R•••Certified Financial Planner | Logan, Ut | Apr 8, 2024 | 10 y | 4 |
| T••• J• F••••• | St. George, Ut | Feb 11, 2025 | 13 y | 1 |
| B•••••• B•••••Certified Financial Planner | Logan, Ut | Oct 2, 2025 | 10 y | 1 |
| B••••••• S•••••••• | Logan, Ut | Jan 13, 2026 | 11 y | 0 |
| S•••• E••••• L••••••Certified Financial Planner | Logan, Ut | May 28, 2026 | 10 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount7 left over 36 months
Left, latest
- C•••••• P••• W•••• to E•••••• A••••••• G••••• L••Apr 1, 2026 · RIA to affiliated broker-dealer or bank
- B•••••• M••• D••••• to M••••••Sep 16, 2025 · RIA to affiliated broker-dealer or bank
- J••••• G••••••• M•• to R•••• S• C•••••• A•••••••• L••Aug 1, 2025 · RIA to RIA
- J••• D••• C•• to B••••••• P••••••• P••••••• L••Jul 24, 2025 · RIA to RIA
- R•••• S•••••• C•••••• to R•••• S• C•••••• A•••••••• L••Jun 10, 2025 · RIA to RIA
- R•••••• C•••••• M••••• to L•• F•••••••• L••Mar 27, 2024 · RIA to affiliated broker-dealer or bank
- J••••••• E••• D•••••••• to L•• F•••••••• L••Dec 4, 2023 · RIA to affiliated broker-dealer or bank
- A•••••• J••• A•••• to C••• C•••••• W••••• M••••••••• L••May 5, 2020 · RIA to RIA
- R••• M••••• B••• to C••• C•••••• W••••• M••••••••• L••Jan 19, 2020 · RIA to a newly registered adviser
- T••••• T•••••• D•••• to C••• C•••••• W••••• M••••••••• L••Jan 19, 2020 · RIA to a newly registered adviser
- D•• E••••• J••••• to C••• C•••••• W••••• M••••••••• L••Jul 1, 2019 · RIA to RIA
Joined, latest
- S•••• E••••• L•••••• from F•••••••• L••• A•••••••May 28, 2026 · RIA to RIA
- C•••••• P••• W•••• from T••••••• I••••••••• M••••••••• I•••Nov 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••• J• F••••• from F••••••• P••••••• A•• W•••••••• A•••••••Feb 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• B•••• R••• from M••••• S••••••Apr 8, 2024 · Wirehouse to independent RIA
- D•••• P•••••• K•••••• from C•••••• S••••• • C••• I•••May 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••••• B•••••• P••••••• from K••••• A•••••••• I•••Aug 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- P•••••• C••••• M••••• from C•••••• S••••• I••••••••• A•••••••• I••Apr 6, 2020 · RIA to RIA
- B•••••• M••• D••••• from T•• I•••••• G••••• I•••Jan 25, 2019 · RIA to RIA
- D•• E••••• J••••• from A•••••• I••••••••• A•••••••• L••Jul 24, 2018 · RIA to RIA
- R•••• S•••••• C•••••• from A•••••• I••••••••• A•••••••• L••Oct 10, 2017 · Other
- R••• M••••• B••• from A•••••• I••••••••• A•••••••• L••Oct 10, 2017 · Other
- T••••• T•••••• D•••• from A•••••• I••••••••• A•••••••• L••Oct 10, 2017 · Other
- S••••• C•••• A•••• from A•••••• I••••••••• A•••••••• L••Sep 12, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••• C•••••• W••••• M••••••••• L••Jan 19, 2020 · Logan, Ut
- 4 joined from A•••••• I••••••••• A•••••••• L••Oct 2, 2017 · Idaho Falls, Id
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• D•••••• I••••••••• F•••• L•• | Hedge Fund | $46.2M | 65 | Apr 11, 2019 |
| A•• V•••••• C•••••• F•••• L•• | Venture Capital Fund | $31.5M | 95 | Apr 11, 2019 |
| F•••••• I••••••••• F••• | Hedge Fund | $20.2M | 20 | Mar 28, 2023 |
| C•••••• T••••••• V••••••••• F•••no longer reported | Hedge Fund | $10.0M | 1 | Aug 16, 2018 |
| A•• M••••••••• F•••• L••no longer reported | Hedge Fund | $9.9M | 27 | Apr 11, 2019 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • G• | Venture Capital Fund | $5.4M | 49 | Mar 28, 2022 |
| A•• R••• A•••• O••••••••• F•••• L•• | Real Estate Fund | $5.4M | 44 | Apr 11, 2019 |
| A•• O••••••••• Z••• F••• V•• L•• | Real Estate Fund | $3.7M | 5 | Mar 23, 2024 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • G• | Venture Capital Fund | $3.6M | 13 | Mar 28, 2023 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • G• | Venture Capital Fund | $2.8M | 12 | Mar 28, 2023 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • C• | Venture Capital Fund | $535,670 | 9 | Mar 28, 2023 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • H• | Venture Capital Fund | $356,980 | 66 | Mar 28, 2022 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • C• | Venture Capital Fund | $154,058 | 2 | Mar 28, 2023 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • H• | Venture Capital Fund | $72,937 | 6 | Mar 28, 2023 |
| A•• V•••••• C•••••••• I• F•••• L•• C•••• • H• | Venture Capital Fund | $24,851 | 2 | Mar 28, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••• C•••• · Managing Partnercontrolsince 11/2016 · owns less than 5%
- C••••••• R••••• S•••••• · Presidentcontrolsince 10/2022 · owns less than 5%
- M•••••• P••••••• C••••• · Chief Investment Officercontrolsince 04/2020 · owns less than 5%
- A••••• S•••••• C•••• · Membercontrolsince 03/2023 · owns 75% or more of I•••••• W••••• A•••••••• L••
- C••••••• R••••• S•••••• · Membercontrolsince 03/2023 · owns 75% or more of R•••• S• C•••••• A•••••••• L••
- M•••••• P••••••• C••••• · Membercontrolsince 03/2023 · owns 75% or more of P•••• L••
- M•••••• C•••••• F•••••• · Chief Compliance Officersince 05/2024 · owns less than 5%
Entity owners
- I•••••• W••••• A•••••••• L•• · Limited Liability Companydirect · owns 75% or more
- P•••• L•• · Limited Liability Companydirect · owns 5% to 10%
- R•••• S• C•••••• A•••••••• L•• · Limited Liability Companydirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•• D•••••• I••••••••• F••• G• L••pooled vehicle sponsory
- A•• O••••••••• Z••• F••• V•• G•• L••pooled vehicle sponsory
- A•• V•••••• C•••••• F••• M••••••••• L••pooled vehicle sponsory
- C••••••••investment adviseryRAUM $547M
- F•••••• F••• G• L••pooled vehicle sponsory
- M•••••• R• M•••••insurancen
Advisers that list A•••• W••••• A••••••• as a related person
- 327688 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Logan, Ut · principal | 10 | 3 | 1 | ||
| St George, Ut | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. George, UT1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- many private funds relative to firm sizeStatic outlier · filing Aug 13, 2026private funds per $1B of RAUM of 21.2 against a peer median of 7.0 (53 comparable advisers, 100.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $500M to $1B (53) · 100% percentile
- account count surgeChange between filings · filing Apr 15, 2026accounts (Item 5.F.2.f) moved from 717.0 to 2,506.0 (+250.0%) between the annual amendments of 2025-04-30 and 2026-04-15; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
- employee count dropChange between filings · filing Apr 15, 2026employees (Item 5.A) moved from 26.0 to 18.0 (-31.0%) between the annual amendments of 2025-04-30 and 2026-04-15; the peer median change was 0.0% (596 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (596) · 1.3% percentile
What changed
consecutive filings, newest first
- Related insurance company · true to falseApr 15, 2026 to Jul 7, 2026
- Accounts · 717 to 2,506Jun 30, 2025 to Apr 15, 2026
- Advisory employees · 16 to 11Jun 30, 2025 to Apr 15, 2026
- Charity clients · 3 to 2Jun 30, 2025 to Apr 15, 2026
- Corporate clients · 29 to 3Jun 30, 2025 to Apr 15, 2026
- HNW clients · 128 to 134Jun 30, 2025 to Apr 15, 2026
- Individual clients · 533 to 557Jun 30, 2025 to Apr 15, 2026
- Pension plan clients · 18 to 1Jun 30, 2025 to Apr 15, 2026
- Commission compensation · false to trueJun 30, 2025 to Apr 15, 2026
- Assets in custody · 392643149.0 to unsetJun 30, 2025 to Apr 15, 2026
- Custody of client assets · true to falseJun 30, 2025 to Apr 15, 2026
- Employees · 26 to 18Jun 30, 2025 to Apr 15, 2026
- State-registered IARs · 14 to 10Jun 30, 2025 to Apr 15, 2026
- Discretionary RAUM · $709M to $566MJun 30, 2025 to Apr 15, 2026
- HNW RAUM · $358M to $345MJun 30, 2025 to Apr 15, 2026
- Individual RAUM · $145M to $141MJun 30, 2025 to Apr 15, 2026
- Pension RAUM · $19.2M to $171,835Jun 30, 2025 to Apr 15, 2026
- Pooled vehicle RAUM · $132M to $74.1MJun 30, 2025 to Apr 15, 2026
- RAUM · $709M to $566MJun 30, 2025 to Apr 15, 2026
- Related bank · false to trueJun 30, 2025 to Apr 15, 2026
- Financial planning clients · 251-500 to 251-500May 20, 2025 to Jun 30, 2025
- Accounts · 1,707 to 717Jun 30, 2024 to Apr 30, 2025
- Advisory employees · 15 to 16Jun 30, 2024 to Apr 30, 2025
- Charity clients · 4 to 3Jun 30, 2024 to Apr 30, 2025
- Corporate clients · 11 to 29Jun 30, 2024 to Apr 30, 2025
- HNW clients · 149 to 128Jun 30, 2024 to Apr 30, 2025
- Individual clients · 492 to 533Jun 30, 2024 to Apr 30, 2025
- Pension plan clients · 21 to 18Jun 30, 2024 to Apr 30, 2025
- Pooled vehicle clients · 7 to 6Jun 30, 2024 to Apr 30, 2025
- Assets in custody · $325M to $393MJun 30, 2024 to Apr 30, 2025
- Employees · 25 to 26Jun 30, 2024 to Apr 30, 2025
- State-registered IARs · 13 to 14Jun 30, 2024 to Apr 30, 2025
- Private funds · 13 to 12Jun 30, 2024 to Apr 30, 2025
- Discretionary RAUM · $603M to $709MJun 30, 2024 to Apr 30, 2025
- HNW RAUM · $276M to $358MJun 30, 2024 to Apr 30, 2025
- Individual RAUM · $118M to $145MJun 30, 2024 to Apr 30, 2025
- Pension RAUM · $42.3M to $19.2MJun 30, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $123M to $132MJun 30, 2024 to Apr 30, 2025
- RAUM · $603M to $709MJun 30, 2024 to Apr 30, 2025
- Accounts · 1,702 to 1,707Dec 4, 2023 to Mar 23, 2024
Signals
14 dated events
- C•••••• P••• W•••• left A•••• W••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2026-04-16)Apr 1, 2026 · Advisor changed firm · fact
- B•••••• M••• D••••• left A•••• W••••• A••••••• for Mariner (registered 2025-09-16)Sep 16, 2025 · Advisor changed firm · fact
- J••••• G••••••• M•• left A•••• W••••• A••••••• for R•••• S• C•••••• A•••••••• L•• (registered 2026-03-30)Aug 1, 2025 · Advisor changed firm · fact
- J••• D••• C•• left A•••• W••••• A••••••• for B••••••• P••••••• P••••••• L•• (registered 2025-07-24)Jul 24, 2025 · Advisor changed firm · fact
- R•••• S•••••• C•••••• left A•••• W••••• A••••••• for R•••• S• C•••••• A•••••••• L•• (registered 2025-06-25)Jun 10, 2025 · Advisor changed firm · fact
- J••••••• D•••• N•••••• (Chief Compliance Officer) no longer on Schedule A of A•••• W••••• A••••••• (listed 2024-04-30, absent 2024-05-16)May 16, 2024 · Control person left · inference
- R•••••• C•••••• M••••• left A•••• W••••• A••••••• for L•• F•••••••• L•• (registered 2024-05-03)Mar 27, 2024 · Advisor changed firm · fact
- A•••• W••••• A••••••• reported RAUM $603.5M, up 36% from $443.8M (2023-12-04 to 2024-03-23)Mar 23, 2024 · RAUM change · derived
- J••••••• E••• D•••••••• left A•••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-01-31)Dec 4, 2023 · Advisor changed firm · fact
- Cormac Patrick M••••• (Chief Investment Officer) appeared on Schedule A of A•••• W••••• A•••••••Mar 28, 2023 · Control person joined · fact
- A•••• W••••• A••••••• reported RAUM $473.3M, up 47% from $322.0M (2022-02-07 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Tessmer Tanner Dance (Director Of Trading & Research) no longer on Schedule A of A•••• W••••• A••••••• (listed 2019-12-04, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- Mathew Ryan Bohm (Member/Director Of Business Development) no longer on Schedule A of A•••• W••••• A••••••• (listed 2019-12-04, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- A•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 21, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• W••••• A••••••• · Private Equityshared crd · organization
- A•••• W••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 435-294-0962reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 435-752-1702reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/aimventuracapital/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/adams-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- adamswealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (435)752-1702reportedpublic record, Form ADV, Aug 13, 2026
- Team page
- adamswealthadvisors.com/meet-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
- $56.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A•••• W••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…