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••••••• W••••• S••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Jul 17, 2020 · 31 filings
SEC status approved since Aug 17, 2020
RAUM
$529M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$489M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$529M as of Mar 18, 2026
Mar 16, 2021$247M then
HNW client RAUM$326M as of Mar 18, 2026
Mar 16, 2021$186M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Mar 16, 20215 then
Employees (5.A)6 as of Mar 18, 2026
Mar 16, 20216 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 18, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $288,035derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M62%
- Individuals$163M31%
- Corporations and businesses$18.7M3.5%
- Charitable organizations$13.5M2.6%
- Pension and profit-sharing plans$7.3M1.4%
- Individual clients
- 391reported
- HNW clients
- 54reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 1,835reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R••••• P••••••• | South Ogden, Ut | Sep 29, 2020 | 16 y | 1 |
| B•••• C••• P•••••••Certified Financial Planner | South Ogden, Ut | Sep 29, 2020 | 29 y | 3 |
| C••• S• P••••••• | South Ogden, Ut | Jun 6, 2022 | 10 y | 0 |
| M••••••• J••• P••• | South Ogden, Ut | May 31, 2024 | 11 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M••••••• J••• P••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 5, 2020 · Affiliated broker-dealer or bank to independent RIA
- S•••• R••••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••• C••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · South Ogden, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• B••••• C••• · Ceo, Ccocontrolsince 07/2009 · 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 |
|---|---|---|---|---|---|
| South Ogden, Ut · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,604 to 1,835May 28, 2025 to Mar 18, 2026
- Advisory employees · 5 to 4May 28, 2025 to Mar 18, 2026
- Corporate clients · 5 to 6May 28, 2025 to Mar 18, 2026
- HNW clients · 47 to 54May 28, 2025 to Mar 18, 2026
- Individual clients · 370 to 391May 28, 2025 to Mar 18, 2026
- Employees · 7 to 6May 28, 2025 to Mar 18, 2026
- State-registered IARs · 5 to 4May 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $463M to $529MMay 28, 2025 to Mar 18, 2026
- HNW RAUM · $276M to $326MMay 28, 2025 to Mar 18, 2026
- Individual RAUM · $153M to $163MMay 28, 2025 to Mar 18, 2026
- Pension RAUM · $6.4M to $7.3MMay 28, 2025 to Mar 18, 2026
- RAUM · $463M to $529MMay 28, 2025 to Mar 18, 2026
- Financial planning clients · 11-25 to 11-25Mar 11, 2025 to May 28, 2025
- Accounts · 391 to 1,604Nov 27, 2024 to Mar 11, 2025
- Charity clients · 2 to 1Nov 27, 2024 to Mar 11, 2025
- Corporate clients · 0 to 5Nov 27, 2024 to Mar 11, 2025
- HNW clients · 13 to 47Nov 27, 2024 to Mar 11, 2025
- Individual clients · 377 to 370Nov 27, 2024 to Mar 11, 2025
- Pension plan clients · 0 to 1Nov 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $389M to $463MNov 27, 2024 to Mar 11, 2025
- HNW RAUM · $167M to $276MNov 27, 2024 to Mar 11, 2025
- Individual RAUM · $221M to $153MNov 27, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $5.3M to $0Nov 27, 2024 to Mar 11, 2025
- Pension RAUM · $0 to $6.4MNov 27, 2024 to Mar 11, 2025
- RAUM · $394M to $463MNov 27, 2024 to Mar 11, 2025
- Advisory employees · 6 to 5Sep 23, 2024 to Oct 16, 2024
- Employees · 8 to 7Sep 23, 2024 to Oct 16, 2024
- State-registered IARs · 6 to 5Sep 23, 2024 to Oct 16, 2024
- Other offices · 1 to 0Sep 23, 2024 to Oct 16, 2024
- Advisory employees · 5 to 6Jun 14, 2024 to Sep 23, 2024
- Employees · 7 to 8Jun 14, 2024 to Sep 23, 2024
- State-registered IARs · 5 to 6Jun 14, 2024 to Sep 23, 2024
- Advisory employees · 3 to 5Jan 26, 2024 to Jun 3, 2024
- Employees · 5 to 7Jan 26, 2024 to Jun 3, 2024
- State-registered IARs · 3 to 5Jan 26, 2024 to Jun 3, 2024
- Accounts · 364 to 391Oct 26, 2023 to Jan 26, 2024
- HNW clients · 12 to 13Oct 26, 2023 to Jan 26, 2024
- Individual clients · 350 to 377Oct 26, 2023 to Jan 26, 2024
- Discretionary RAUM · $306M to $389MOct 26, 2023 to Jan 26, 2024
- HNW RAUM · $130M to $167MOct 26, 2023 to Jan 26, 2024
Signals
1 dated events
- P••••••• W••••• S••••••• I••• filed its initial SEC registration (Form ADV)Jul 17, 2020 · 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 phone
- 801-475-4002reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- petersonws.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 801-475-4002reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- petersonws.com/pages/contact-2reportedpublished 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026