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
D•••••••• W••••• A•••••••• L••
Latest filing Aug 2, 2024
First filing on the tape Apr 5, 2017 · 32 filings
RAUM
$617M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$580M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$25.2M gross assets
History
32 filings and snapshots on the tape
RAUM$617M as of Mar 25, 2024
Mar 2, 2018$298M then
HNW client RAUM$382M as of Mar 25, 2024
Mar 2, 2018$204M then
State-registered IARs (5.B.3)11 as of Mar 25, 2024
Mar 2, 20183 then
Employees (5.A)12 as of Mar 25, 2024
Mar 2, 20186 then
Private funds3 as of Mar 25, 2024
Feb 23, 20233 then
RAUM +29% over the last fiscal year+15% a year over threeIARs 13 to 11
Practice profile
derived from the filing of Aug 2, 2024; every figure names its basis
- RAUM per advisor
- $56.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $277,216derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Financial planning clients
- 786reportedItem 5.H
- Custody
- $596M, 784 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M62%
- Individuals$198M32%
- Pooled investment vehicles$30.5M4.9%
- Corporations and businesses$6.7M1.1%
- Charitable organizations$203,4320.0%
- Individual clients
- 645reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,227reported
- Financial planning clients
- 786reported
- Wrap fee programs
- noreported
- Custody of client assets
- $596M for 784 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
Left, latest
- J••• S•••••• P••••••••• to A••••• A•••••••Aug 9, 2023 · RIA to RIA
- H••••• M•••• M••••• to F••••••• P••••••• A•• W•••••••• A•••••••May 1, 2020 · RIA to affiliated broker-dealer or bank
- J••••• A•••• S•••• to C••••• F•••••••• N••••••• L••Aug 21, 2018 · RIA to RIA
Joined, latest
- G••••••• C••••• R••••• from E••••• J••••Aug 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- D••••• D•••• G•••••• from M••••• S••••••Jul 2, 2020 · Wirehouse to independent RIA
- H••••• M•••• M••••• from S•••••••• A••••••• L••Apr 4, 2018 · Affiliated broker-dealer or bank to independent RIA
- B•••• H••••• R•••• from M••••• S••••••Apr 21, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• R•••••• C•••••• from M••••• S••••••Apr 21, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for W••••••••• R••••••••• A•••••••Sep 30, 2024 · South J•••••, Ut · Firm absorbed
- 2 joined from M••••• S••••••Apr 24, 2017 · Holladay, Ut
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• A• F•••••• G••• F••• I• L• | Real Estate Fund | $21.8M | 22 | May 5, 2022 |
| D•••••••• C•••••• F••• 2• L• | Private Equity Fund | $2.8M | 40 | May 5, 2022 |
| D•••••••• C•••••• F••• 3• L• | Private Equity Fund | $593,621 | 19 | May 5, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M••• V•••••••• E• C••• · Directorcontrolsince 07/2017 · owns less than 5%
- O•••••••• E•••••• G••••• · Directorcontrolsince 02/2015 · owns less than 5%
- S••••••••• B••••• R••••• · Directorcontrolsince 01/2009 · owns less than 5%
- T•••••• R••••• W• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- N•• C•••••••• S••••••• · Memberdirect · owns 75% or more
- A••• P•• · Ownerindirect · owns 75% or more of R••••••• F•••••• U•••••••• C••••••
- N•• I••••••••• H••••••• B• C•••• · Ownerindirect · owns 75% or more of N•• C•••••••• S•••••••
- R••••••• A••••••••• C•••• · Ownerindirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
- R••••••• F•••••• U•••••••• C•••••• · Ownerindirect · owns 75% or more of R••••••• A••••••••• C••••
Related persons
Schedule D 7.A
- A••••••••• P••••••••• Financial S•••••••••, LLCinvestment advisernRAUM $464M
- D• F•• 2• G•• L••pooled vehicle sponsorcustodiann
- D• F•• 3• G•• L••pooled vehicle sponsorcustodiann
- F•••••••• F••••investment advisernRAUM $2.5B
- F•••••••• A••••••• L••investment advisernRAUM $98B
- F•••••••• A• F•••••• G••• G•• L••pooled vehicle sponsorcustodiann
- N•• C•••••••• S••••••• •••• I•••real estaten
- N•• P••••••• • C••••••• S•••••••• I•••real estaten
- S•• B••••••• C•••••••••investment advisernRAUM $524M
- W••••••••• A•••••••investment advisernRAUM $34B
Advisers that list D•••••••• W••••• A•••••••• L•• as a related person
- 121254 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,196 to 2,227Dec 20, 2023 to Mar 25, 2024
- Advisory employees · 13 to 12Dec 20, 2023 to Mar 25, 2024
- Charity clients · 1.0 to unsetDec 20, 2023 to Mar 25, 2024
- Corporate clients · 1.0 to unsetDec 20, 2023 to Mar 25, 2024
- HNW clients · 133 to 134Dec 20, 2023 to Mar 25, 2024
- Individual clients · 646 to 645Dec 20, 2023 to Mar 25, 2024
- Assets in custody · $441M to $596MDec 20, 2023 to Mar 25, 2024
- Employees · 13 to 12Dec 20, 2023 to Mar 25, 2024
- Insurance-licensed employees · 0 to 10Dec 20, 2023 to Mar 25, 2024
- State-registered IARs · 13 to 11Dec 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $564M to $613MDec 20, 2023 to Mar 25, 2024
- HNW RAUM · $351M to $382MDec 20, 2023 to Mar 25, 2024
- Individual RAUM · $181M to $198MDec 20, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $3.8M to $4.3MDec 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $29.4M to $30.5MDec 20, 2023 to Mar 25, 2024
- RAUM · $568M to $617MDec 20, 2023 to Mar 25, 2024
- Related broker-dealer · false to trueNov 30, 2023 to Dec 20, 2023
- Accounts · 2,027 to 2,196Feb 23, 2023 to Nov 30, 2023
- Charity clients · unset to 1.0Feb 23, 2023 to Nov 30, 2023
- Corporate clients · unset to 1.0Feb 23, 2023 to Nov 30, 2023
- HNW clients · 124 to 133Feb 23, 2023 to Nov 30, 2023
- Individual clients · 615 to 646Feb 23, 2023 to Nov 30, 2023
- Pooled vehicle clients · unset to 3.0Feb 23, 2023 to Nov 30, 2023
- Assets in custody · $259M to $441MFeb 23, 2023 to Nov 30, 2023
- Discretionary RAUM · $475M to $564MFeb 23, 2023 to Nov 30, 2023
- HNW RAUM · $319M to $351MFeb 23, 2023 to Nov 30, 2023
- Individual RAUM · $154M to $181MFeb 23, 2023 to Nov 30, 2023
- Non-discretionary RAUM · $4.7M to $3.8MFeb 23, 2023 to Nov 30, 2023
- Pooled vehicle RAUM · unset to 29392307.0Feb 23, 2023 to Nov 30, 2023
- RAUM · $480M to $568MFeb 23, 2023 to Nov 30, 2023
- Related adviser · false to trueFeb 23, 2023 to Nov 30, 2023
- Accounts · 1,661 to 2,027Jan 24, 2023 to Feb 23, 2023
- Advisory employees · 9 to 13Jan 24, 2023 to Feb 23, 2023
- BD registered reps · 2 to 1Jan 24, 2023 to Feb 23, 2023
- HNW clients · 119 to 124Jan 24, 2023 to Feb 23, 2023
- Individual clients · 521 to 615Jan 24, 2023 to Feb 23, 2023
- Pooled vehicle clients · 3.0 to unsetJan 24, 2023 to Feb 23, 2023
- Assets in custody · $328M to $259MJan 24, 2023 to Feb 23, 2023
- Employees · 11 to 13Jan 24, 2023 to Feb 23, 2023
- State-registered IARs · 9 to 13Jan 24, 2023 to Feb 23, 2023
Signals
11 dated events
- D•••••••• W••••• A•••••••• L••'s advisors moved to W••••••••• R••••••••• A••••••• (South Jordan, UT): 10 of 11 registered, on the same daySep 30, 2024 · Firm absorbed (people side) · derived
- Richard Jordan Collins (Managing Member) no longer on Schedule A of D•••••••• W••••• A•••••••• L•• (listed 2023-11-30, absent 2023-12-20)Dec 20, 2023 · Control person left · inference
- Harker Brady Ririe (Managing Member) no longer on Schedule A of D•••••••• W••••• A•••••••• L•• (listed 2023-11-30, absent 2023-12-20)Dec 20, 2023 · Control person left · inference
- Ronald Brett Schneider (Director) appeared on Schedule A of D•••••••• W••••• A•••••••• L••Nov 30, 2023 · Control person joined · fact
- Ei Chun Veronica Moo (Director) appeared on Schedule A of D•••••••• W••••• A•••••••• L••Nov 30, 2023 · Control person joined · fact
- George Edward O'Malley (Director) appeared on Schedule A of D•••••••• W••••• A•••••••• L••Nov 30, 2023 · Control person joined · fact
- J••• S•••••• P••••••••• left D•••••••• W••••• A•••••••• L•• for A••••• A••••••• (registered 2025-08-12)Aug 9, 2023 · Advisor changed firm · fact
- D•••••••• W••••• A•••••••• L•• reported RAUM $520.5M, up 27% from $409.3M (2021-07-30 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- Ellison Richard Collins (Chief Compliance Officer) no longer on Schedule A of D•••••••• W••••• A•••••••• L•• (listed 2020-07-02, absent 2021-02-12)Feb 12, 2021 · Control person left · inference
- W. Randy Taylor (Chief Compliance Officer) appeared on Schedule A of D•••••••• W••••• A•••••••• L••Feb 12, 2021 · Control person joined · fact
- Tcgim filed its initial SEC registration (Form ADV)Apr 5, 2017 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- D•••••••• W••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D•••••••• W••••• A•••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
D•••••••• W••••• A•••••••• L•• 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.
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