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•••• C•••••• A•••••••• L••
Latest filing May 6, 2026
First filing on the tape Jan 5, 2018 · 28 filings
SEC status approved since Feb 5, 2018
RAUM
$90.0M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
8.0%
$7.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$22.5M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$90.0M as of May 6, 2026
Mar 27, 2018$4.0M then
HNW client RAUM$7.2M as of May 6, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)4 as of May 6, 2026
Mar 27, 20180 then
Employees (5.A)6 as of May 6, 2026
Mar 27, 20183 then
Private funds2 as of May 6, 2026
Mar 27, 20182 then
RAUM -26% over the last fiscal year-20% a year over threeIARs 1 to 4
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
- RAUM per advisor
- $22.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $18.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 19%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
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +300%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $65.8M, 2 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$65.8M73%
- Pension and profit-sharing plans$17.0M19%
- High-net-worth individuals$7.2M8.0%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.8M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.08 fund_share=0.73 institutional_share=0.19 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•••••• P••• S•••••• | Salt Lake City, Ut | Dec 6, 2017 | 18 y | 1 |
| E••• M•••• M••••••• | Salt Lake City, Ut | Dec 6, 2017 | 14 y | 0 |
| A••••• A••••••••• K••••••Chartered Financial Analyst | Salt Lake City, Ut | Dec 20, 2021 | 12 y | 1 |
| W••••• L••••••• G••••Chartered Financial Analyst | Salt Lake City, Ut | Feb 19, 2025 | 28 y | 3 |
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
- A••••• A••••••••• K•••••• from W•••••• A••••••• L•Dec 20, 2021 · Other
- W••••• L••••••• G•••• from F••••••••• C••••••• I•••Mar 5, 2018 · Other
- S•••••• P••• S•••••• from G••••••• P••• G••••• A•••••••Dec 6, 2017 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• G••••• E••••••• C••••••••• L• | Other Private Fund | $50.9M | 21 | Jan 5, 2018 |
| A•• G••••• L••••••••• L•no longer reported | Hedge Fund | $2.1M | 5 | Jan 5, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• E•••• M•••• · Managercontrolsince 09/2017 · owns 50% to 75%
- S••••••• S••••••• P••• · Managercontrolsince 09/2017 · owns 50% to 75%
- M••••• D•••••• R•••••• · Chief Compliance Officersince 02/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 6, 2026institutional share of RAUM of 19% against a peer median of 0% (140 comparable advisers, 99.0th percentile, 6.4 robust deviations)peers: asset managers, under $100M (140) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 31, 2025 to Mar 30, 2026
- BD registered reps · 1 to 0Mar 31, 2025 to Mar 30, 2026
- HNW clients · 0 to 2Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 1.0 to unsetMar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $48.8M to $65.8MMar 31, 2025 to Mar 30, 2026
- Employees · 7 to 6Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 4Mar 31, 2025 to Mar 30, 2026
- Private funds · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $122M to $88.3MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $0 to $7.2MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $1.7MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $17.0M to $17.0MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $48.8M to $65.8MMar 31, 2025 to Mar 30, 2026
- RAUM · $122M to $90.0MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 6 to 4Feb 18, 2025 to Mar 31, 2025
- Assets in custody · $50.9M to $48.8MFeb 18, 2025 to Mar 31, 2025
- Employees · 8 to 7Feb 18, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Feb 18, 2025 to Mar 31, 2025
- State-registered IARs · 2 to 1Feb 18, 2025 to Mar 31, 2025
- Discretionary RAUM · $179M to $122MFeb 18, 2025 to Mar 31, 2025
- Pension RAUM · $16.9M to $17.0MFeb 18, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $50.9M to $48.8MFeb 18, 2025 to Mar 31, 2025
- RAUM · $179M to $122MFeb 18, 2025 to Mar 31, 2025
- Charity clients · 1 to 0Dec 5, 2023 to Feb 9, 2024
- Pension plan clients · 0 to 1Dec 5, 2023 to Feb 9, 2024
- Assets in custody · $39.1M to $50.9MDec 5, 2023 to Feb 9, 2024
- Employees · 7 to 8Dec 5, 2023 to Feb 9, 2024
- State-registered IARs · 4 to 2Dec 5, 2023 to Feb 9, 2024
- Discretionary RAUM · $178M to $179MDec 5, 2023 to Feb 9, 2024
- Pension RAUM · $0 to $16.9MDec 5, 2023 to Feb 9, 2024
- Pooled vehicle RAUM · $40.1M to $50.9MDec 5, 2023 to Feb 9, 2024
- RAUM · $178M to $179MDec 5, 2023 to Feb 9, 2024
- Accounts · 3 to 4Jan 4, 2023 to Mar 30, 2023
- Charity clients · 0 to 1Jan 4, 2023 to Mar 30, 2023
- Discretionary RAUM · $314M to $178MJan 4, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $39.1M to $40.1MJan 4, 2023 to Mar 30, 2023
- RAUM · $314M to $178MJan 4, 2023 to Mar 30, 2023
- Advisory activities · 2 to 3Dec 17, 2021 to Mar 1, 2022
- Assets in custody · $14.2M to $39.1MDec 17, 2021 to Mar 1, 2022
Signals
12 dated events
- M•••••••• O•••• (Chief Operating Officer) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2024-02-29, absent 2024-04-02)Apr 2, 2024 · Control person left · inference
- Alexander E•••k Aguayo (Chief Compliance Officer) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2024-02-12, absent 2024-02-29)Feb 29, 2024 · Control person left · inference
- M•••••••• O•••• (Chief Operating Officer) appeared on Schedule A of S•••• C•••••• A•••••••• L••Feb 12, 2024 · Control person joined · fact
- Alexander E•••k Aguayo (Chief Compliance Officer) appeared on Schedule A of S•••• C•••••• A•••••••• L••Dec 5, 2023 · Control person joined · fact
- S•••• C•••••• A•••••••• L•• reported RAUM $177.7M, down 43% from $314.2M (2023-01-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- B Joshua S•••••• (Owner) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2022-06-08, absent 2023-01-04)Jan 4, 2023 · Control person left · inference
- D•••• S•••••• (Owner) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2022-06-08, absent 2023-01-04)Jan 4, 2023 · Control person left · inference
- D•••• S•••••• (Owner) appeared on Schedule A of S•••• C•••••• A•••••••• L••Jun 8, 2022 · Control person joined · fact
- Spencer Samuel S•••••• (Manager) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2021-03-04, absent 2021-12-17)Dec 17, 2021 · Control person left · inference
- S•••• C•••••• A•••••••• L•• reported RAUM $317.7M, up 89% from $168.0M (2020-06-22 to 2021-02-19)Feb 19, 2021 · RAUM change · derived
- Lawrence Wesley Golby (Manager) no longer on Schedule A of S•••• C•••••• A•••••••• L•• (listed 2020-01-30, absent 2020-03-19)Mar 19, 2020 · Control person left · inference
- A•• G••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sevencanyonsadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-349-2718reportedpublic record, Form ADV, May 6, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026