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
T•• P••••••••• F•••••••• C•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 27, 2018 · 20 filings
SEC status approved since Jan 28, 2019
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$208M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$246M as of Mar 24, 2026
Mar 12, 2019$118M then
HNW client RAUM$169M as of Mar 24, 2026
Mar 12, 2019$23.0M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 12, 20192 then
Employees (5.A)7 as of Mar 24, 2026
Mar 12, 20192 then
Private funds: no history
RAUM -32% over the last fiscal year-2.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $427,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$169M72%
- Individuals$38.8M17%
- Charitable organizations$26.0M11%
- Corporations and businesses$107,2980.0%
- Individual clients
- 184reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 575reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.11 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 |
|---|---|---|---|---|
| W•••••• B•••• M•••••Certified Financial Planner | Orem, Ut | Jun 8, 2018 | 16 y | 2 |
| L••• M•••••• W•••••••• | Orem, Ut | Feb 19, 2025 | 11 y | 0 |
| E•••• R••••• G•••••• | Orem, Ut | Apr 7, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount3 left over 36 months
Left, latest
- S••••• H• B•••••• to G•••••• W••••• A••••••• L••Mar 10, 2026 · RIA to a state-registered adviser
- D•••• K••••••• to P••• F•••••••• A•••••••• L••Dec 12, 2024 · RIA to RIA
- B•••••• S••••••• B•••• to P••• F•••••••• A•••••••• L••Dec 12, 2024 · RIA to RIA
- A••• M••••• D•••• to E••••• J••••Apr 4, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• H• B•••••• from E•••••••• A•••••••• L••Feb 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••••• S••••••• B•••• from A••••• W••••• M••••••••• L••Dec 13, 2018 · RIA to RIA
- W•••••• B•••• M••••• from A••••• W••••• M••••••••• L••Jun 8, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••• F•••••••• A•••••••• L••Dec 12, 2024 · Orem, Ut
- 2 joined from A••••• W••••• M••••••••• L••Dec 4, 2018 · Las Vegas, Nv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••••• S••••••• · Executive Vice Presidentcontrolsince 12/2018 · owns 10% to 25%
- M•••••• W••••••• B•••• · Principal & Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- M•••••• M•••• G• · Trusteecontrolsince 04/2015 · owns F of T•• M••• G• M••••• R•••••••• T••••
- M•••••• W••••••• B•••• · Trusteecontrolsince 04/2015 · owns F of T•• W• B•••• M••••• R•••••••• T••••
Entity owners
- T•• W• B•••• M••••• R•••••••• T•••• · Memberdirect · owns 75% or more
- T•• M••• G• M••••• R•••••••• T•••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Orem, Ut · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 24, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $361,064,134 to $246,055,621, advisors 3 to 3, private clients 223 to 255, offices 0 to 0 (2025-03-31 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 24, 2026discretionary share of RAUM moved from 64.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 24, 2026private-client share of RAUM moved from 52.0% to 84.0% between the annual amendments of 2025-03-31 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 42.0% to 69.0% between the annual amendments of 2025-03-31 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 24, 2026institutional share of RAUM moved from 48.0% to 11.0% between the annual amendments of 2025-03-31 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- RAUM down 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $361,064,134 to $246,055,621 (-32.0%) between the annual amendments of 2025-03-31 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 535 to 575Mar 31, 2025 to Mar 24, 2026
- Corporate clients · 3 to 1Mar 31, 2025 to Mar 24, 2026
- HNW clients · 75 to 71Mar 31, 2025 to Mar 24, 2026
- Individual clients · 148 to 184Mar 31, 2025 to Mar 24, 2026
- Pension plan clients · 12.0 to unsetMar 31, 2025 to Mar 24, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 24, 2026
- Financial planning clients · 251-500 to 101-250Mar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $232M to $246MMar 31, 2025 to Mar 24, 2026
- HNW RAUM · $153M to $169MMar 31, 2025 to Mar 24, 2026
- Individual RAUM · $34.5M to $38.8MMar 31, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $129M to $0Mar 31, 2025 to Mar 24, 2026
- Pension RAUM · 128955293.0 to unsetMar 31, 2025 to Mar 24, 2026
- RAUM · $361M to $246MMar 31, 2025 to Mar 24, 2026
- Accounts · 252 to 535Jun 21, 2024 to Mar 31, 2025
- Charity clients · 1 to 7Jun 21, 2024 to Mar 31, 2025
- Corporate clients · 2 to 3Jun 21, 2024 to Mar 31, 2025
- HNW clients · 49 to 75Jun 21, 2024 to Mar 31, 2025
- Individual clients · 200 to 148Jun 21, 2024 to Mar 31, 2025
- Pension plan clients · 0 to 12Jun 21, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Jun 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $206M to $232MJun 21, 2024 to Mar 31, 2025
- HNW RAUM · $136M to $153MJun 21, 2024 to Mar 31, 2025
- Individual RAUM · $44.8M to $34.5MJun 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $129MJun 21, 2024 to Mar 31, 2025
- Pension RAUM · $0 to $129MJun 21, 2024 to Mar 31, 2025
- RAUM · $206M to $361MJun 21, 2024 to Mar 31, 2025
- HQ city · PLEASANT GROVE to OREMMar 28, 2024 to Jun 21, 2024
- Accounts · 585 to 252Oct 4, 2023 to Mar 28, 2024
- Charity clients · 0 to 1Oct 4, 2023 to Mar 28, 2024
- Corporate clients · 1 to 2Oct 4, 2023 to Mar 28, 2024
- HNW clients · 31 to 49Oct 4, 2023 to Mar 28, 2024
- Individual clients · 194 to 200Oct 4, 2023 to Mar 28, 2024
- Pension plan clients · 13 to 0Oct 4, 2023 to Mar 28, 2024
- Employees · 5 to 6Oct 4, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 251-500Oct 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $177M to $206MOct 4, 2023 to Mar 28, 2024
- HNW RAUM · $117M to $136MOct 4, 2023 to Mar 28, 2024
- Individual RAUM · $41.4M to $44.8MOct 4, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $88.1M to $0Oct 4, 2023 to Mar 28, 2024
- Pension RAUM · $88.1M to $0Oct 4, 2023 to Mar 28, 2024
Signals
9 dated events
- T•• P••••••••• F•••••••• C•••••• L•• reported RAUM $246.1M, down 32% from $361.1M (2025-03-31 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- S••••• H• B•••••• left T•• P••••••••• F•••••••• C•••••• L•• for G•••••• W••••• A••••••• L•• (registered 2026-03-11)Mar 10, 2026 · Advisor changed firm · fact
- T•• P••••••••• F•••••••• C•••••• L•• reported RAUM $361.1M, up 75% from $206.2M (2024-06-21 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B•••••• S••••••• B•••• left T•• P••••••••• F•••••••• C•••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2024-11-12)Dec 12, 2024 · Advisor changed firm · fact
- 2 advisors left T•• P••••••••• F•••••••• C•••••• L•• (Orem, UT) for P••• F•••••••• A•••••••• L•• on the same dayDec 12, 2024 · Team lift-out · derived
- D•••• K••••••• left T•• P••••••••• F•••••••• C•••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2024-11-12)Dec 12, 2024 · Advisor changed firm · fact
- Sterling Brennon Bowen (Executive Vice President) appeared on Schedule A of T•• P••••••••• F•••••••• C•••••• L••Mar 28, 2024 · Control person joined · fact
- A••• M••••• D•••• left T•• P••••••••• F•••••••• C•••••• L•• for E••••• J•••• (registered 2023-07-13)Apr 4, 2023 · Advisor changed firm · fact
- T•• P••••••••• F•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 27, 2018 · 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
- profi@thepfc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-701-2345reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••S://T•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (801) 701-2345reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- thepfc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- thepfc.com/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026