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

A•• I••••••••• A•••••••• I•••

Former SEC-registered adviserKaysville, UtahCRD 293750SEC 801-112807IAPD
Latest filing Jan 2, 2024
First filing on the tape Mar 9, 2018 · 69 filings
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$106M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$107M as of Feb 9, 2023
Feb 25, 2019$165M then
HNW client RAUM$42.3M as of Feb 9, 2023
Feb 25, 2019$25.0M then
State-registered IARs (5.B.3)7 as of Feb 9, 2023
Feb 25, 201922 then
Employees (5.A)7 as of Feb 9, 2023
Feb 25, 201922 then
Private funds: no history
RAUM -5.8% over the last fiscal year-18% a year over threeIARs 7 to 5offices 1 to 0
Practice profile
derived from the filing of Jan 2, 2024; every figure names its basis
RAUM per advisor
$21.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$209,425derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-53%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$63.8M59%
  • High-net-worth individuals$42.3M39%
  • Charitable organizations$1.3M1.2%
Individual clients
478reported
HNW clients
34reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
513reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• A•••• R••••• · President & Chief Compliance Officercontrol
    since 05/2017 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Kaysville, Ut · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 6 to 5
    May 17, 2023 to Jan 2, 2024
  • Employees · 6 to 5
    May 17, 2023 to Jan 2, 2024
  • State-registered IARs · 6 to 5
    May 17, 2023 to Jan 2, 2024
  • Advisory employees · 7 to 6
    May 1, 2023 to May 17, 2023
  • Employees · 7 to 6
    May 1, 2023 to May 17, 2023
  • State-registered IARs · 7 to 6
    May 1, 2023 to May 17, 2023
  • HQ city · BOUNTIFUL to KAYSVILLE
    Apr 24, 2023 to Apr 27, 2023
  • Other offices · 1 to 0
    Apr 24, 2023 to Apr 27, 2023
  • Accounts · 1,085 to 513
    Mar 28, 2022 to Feb 9, 2023
  • Charity clients · 0 to 1
    Mar 28, 2022 to Feb 9, 2023
  • HNW clients · 27 to 34
    Mar 28, 2022 to Feb 9, 2023
  • Individual clients · 1,058 to 478
    Mar 28, 2022 to Feb 9, 2023
  • Financial planning clients · 11-25 to 101-250
    Mar 28, 2022 to Feb 9, 2023
  • Discretionary RAUM · $114M to $107M
    Mar 28, 2022 to Feb 9, 2023
  • HNW RAUM · $45.5M to $42.3M
    Mar 28, 2022 to Feb 9, 2023
  • Individual RAUM · $68.5M to $63.8M
    Mar 28, 2022 to Feb 9, 2023
  • RAUM · $114M to $107M
    Mar 28, 2022 to Feb 9, 2023
  • Accounts · 1,839 to 1,085
    Jan 7, 2022 to Mar 28, 2022
  • HNW clients · 56 to 27
    Jan 7, 2022 to Mar 28, 2022
  • Individual clients · 961 to 1,058
    Jan 7, 2022 to Mar 28, 2022
  • Financial planning clients · More than 500 to 11-25
    Jan 7, 2022 to Mar 28, 2022
  • Discretionary RAUM · $174M to $114M
    Jan 7, 2022 to Mar 28, 2022
  • HNW RAUM · $73.8M to $45.5M
    Jan 7, 2022 to Mar 28, 2022
  • Individual RAUM · $100M to $68.5M
    Jan 7, 2022 to Mar 28, 2022
  • RAUM · $174M to $114M
    Jan 7, 2022 to Mar 28, 2022
  • Other offices · 3 to 1
    Sep 14, 2021 to Jan 7, 2022
  • Advisory employees · 8 to 7
    Mar 16, 2021 to Mar 17, 2021
  • Employees · 8 to 7
    Mar 16, 2021 to Mar 17, 2021
  • State-registered IARs · 8 to 7
    Mar 16, 2021 to Mar 17, 2021
  • Accounts · 2,323 to 1,839
    Feb 17, 2021 to Mar 16, 2021
  • HNW clients · 22 to 56
    Feb 17, 2021 to Mar 16, 2021
  • Individual clients · 2,301 to 961
    Feb 17, 2021 to Mar 16, 2021
  • Financial planning clients · 51-100 to More than 500
    Feb 17, 2021 to Mar 16, 2021
  • Discretionary RAUM · $198M to $174M
    Feb 17, 2021 to Mar 16, 2021
  • HNW RAUM · $23.0M to $73.8M
    Feb 17, 2021 to Mar 16, 2021
  • Individual RAUM · $175M to $100M
    Feb 17, 2021 to Mar 16, 2021
  • RAUM · $198M to $174M
    Feb 17, 2021 to Mar 16, 2021
  • Advisory employees · 14 to 8
    Jan 20, 2021 to Feb 17, 2021
  • BD registered reps · 7 to 0
    Jan 20, 2021 to Feb 17, 2021
  • Employees · 14 to 8
    Jan 20, 2021 to Feb 17, 2021
Signals
9 dated events
  • J••••• E••• P••• left A•• I••••••••• A•••••••• I••• for C••• L•• (registered 2024-01-02)
    Jun 13, 2024 · Advisor changed firm · fact
  • M•••••• J••• G•••• left A•• I••••••••• A•••••••• I••• for C••• L•• (registered 2024-01-02)
    Jun 13, 2024 · Advisor changed firm · fact
  • A•• I••••••••• A•••••••• I•••'s advisors moved to C••• L•• (Kaysville, UT): 4 of 4 registered, on the same day
    Jun 13, 2024 · Firm absorbed (people side) · derived
  • J•••••• B•••• J•••••• left A•• I••••••••• A•••••••• I••• for C••• L•• (registered 2024-01-02)
    Jun 13, 2024 · Advisor changed firm · fact
  • A••• R••••• H•••••• left A•• I••••••••• A•••••••• I••• for C••• L•• (registered 2024-01-02)
    Jun 13, 2024 · Advisor changed firm · fact
  • J••••• D•••• S••••• left A•• I••••••••• A•••••••• I••• for O••••••••• S••••••••• I••• (registered 2024-01-30)
    Jan 2, 2024 · Advisor changed firm · fact
  • J•••• W•••••• left A•• I••••••••• A•••••••• I••• for C••••••••• W•••••• L•• (registered 2023-08-29)
    May 17, 2023 · Advisor changed firm · fact
  • A•• I••••••••• A•••••••• I••• reported 8 offices beyond its principal office, up from 2 (2018-07-12 to 2018-07-16)
    Jul 16, 2018 · Office count change · derived
  • A•• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Mar 9, 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.
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