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.
SEC-registered adviser
Lone Peak Advisers
Legal name Lone Peak Advisers, LLC
Latest filing Mar 3, 2026
First filing on the tape May 14, 2018 · 35 filings
SEC status approved since Mar 28, 2023
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$13.9M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$125M as of Mar 3, 2026
Jan 18, 2019$115M then
HNW client RAUM$50.0M as of Mar 3, 2026
Jan 18, 2019$10.0M then
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Jan 18, 20194 then
Employees (5.A)8 as of Mar 3, 2026
Jan 18, 20195 then
Private funds: no history
RAUM +5.4% over the last fiscal yearIARs 8 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $13.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $138,613derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- Individuals$75.4M60%
- High-net-worth individuals$50.0M40%
- Individual clients
- 855reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 905reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brad Jedd MyersChartered Financial Consultant | Draper, Ut | Apr 12, 2023 | 26 y | 5 |
| David William James | Draper, Ut | Apr 12, 2023 | 42 y | 5 |
| Jim Lee Demuth | Draper, Ut | Apr 13, 2023 | 9 y | 1 |
| Zach R Royter | Draper, Ut | Apr 13, 2023 | 13 y | 1 |
| Laura Carrera Warnock | Draper, Ut | May 3, 2024 | 26 y | 7 |
| David K Shackelford | Draper, Ut | Jun 23, 2025 | 12 y | 0 |
| Aaron L Hammer | St. Cloud, Mn | Sep 9, 2025 | 25 y | 1 |
| Thomas Walter MulderChartered Financial Consultant | St. Cloud, Mn | Nov 17, 2025 | 44 y | 1 |
| Daniel Gerald Gomez | Salt Lake City , Ut | Jul 28, 2026 | 35 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Megan Marie Palazzo to Consolidated Portfolio Review CorpDec 2, 2024 · RIA to RIA
- Kimberly A Mallas to Consolidated Portfolio Review CorpJan 19, 2024 · RIA to RIA
- Brett Munson to LPL Enterprise, LLCAug 15, 2023 · RIA to a newly registered adviser
- Craig Brimhall Nelson to Legacy Cornerstone Wealth LLCSep 20, 2022 · RIA to RIA
- Travis John Hudak to Premier Investment Management, LLCNov 15, 2021 · RIA to a state-registered adviser
- David Adams Gallman to Townsquare Capital, LLCMar 23, 2020 · RIA to RIA
- Tyler Scott Olson to Ascend Investment Management, LLCMar 16, 2020 · RIA to a state-registered adviser
Joined, latest
- Daniel Gerald Gomez from Diversify Advisory Services, LLCJul 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Thomas Walter Mulder from Valmark Advisers, Inc.Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- Aaron L Hammer from Valmark Advisers, Inc.Sep 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- Laura Carrera Warnock from Founders Financial Securities, LLCMay 3, 2024 · RIA to RIA
- Brad Jedd Myers from Geneos Wealth Management, Inc.Jul 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- Megan Marie Palazzo from Geneos Wealth Management, Inc.Jul 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- Brett Munson from Morgan StanleyMay 13, 2020 · Wirehouse to independent RIA
- Craig Brimhall Nelson from Crewe AdvisorsJul 10, 2019 · RIA to RIA
- Travis John Hudak from Lone Peak Capital Management, LLCDec 20, 2018 · Other
- David Adams Gallman from Legacy Wealth Management, LLCOct 30, 2018 · RIA to RIA
- David William James from Lone Peak Capital Management, LLCSep 20, 2018 · Other
- Tyler Scott Olson from Legacy Planning GroupAug 14, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Geneos Wealth Management, Inc.Jul 18, 2022 · Cedar City, Ut
- 2 joined from Lone Peak Capital Management, LLCMar 23, 2021 · Midvale, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William David James · Manager/Principalcontrolsince 05/2018 · owns 75% or more
- Jedd Brad Myers · Supervisory Principal & Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Transitional Broker LLCbroker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Draper, Ut · principal | 8 | 2 | 0 | ||
| St Cloud, Mn | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 3, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-03 and 2026-03-03; the peer median change was 0.0% (965 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 0.0% percentile
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 21.0% to 40.0% between the annual amendments of 2025-03-03 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 743 to 905Nov 19, 2025 to Mar 3, 2026
- Advisory employees · 6 to 8Nov 19, 2025 to Mar 3, 2026
- BD registered reps · 5 to 6Nov 19, 2025 to Mar 3, 2026
- HNW clients · 37 to 50Nov 19, 2025 to Mar 3, 2026
- Individual clients · 681 to 855Nov 19, 2025 to Mar 3, 2026
- State-registered IARs · 8 to 0Nov 19, 2025 to Mar 3, 2026
- Discretionary RAUM · $119M to $125MNov 19, 2025 to Mar 3, 2026
- HNW RAUM · $25.0M to $50.0MNov 19, 2025 to Mar 3, 2026
- Individual RAUM · $94.0M to $75.4MNov 19, 2025 to Mar 3, 2026
- RAUM · $119M to $125MNov 19, 2025 to Mar 3, 2026
- Advisory employees · 8 to 6Mar 3, 2025 to Aug 4, 2025
- BD registered reps · 7 to 5Mar 3, 2025 to Aug 4, 2025
- Employees · 10 to 8Mar 3, 2025 to Aug 4, 2025
- Accounts · 548 to 743Jun 13, 2024 to Mar 3, 2025
- HNW clients · 76 to 37Jun 13, 2024 to Mar 3, 2025
- Individual clients · 499 to 681Jun 13, 2024 to Mar 3, 2025
- Financial planning clients · 26-50 to 26-50Jun 13, 2024 to Mar 3, 2025
- Other offices · 1 to 0Jun 13, 2024 to Mar 3, 2025
- Discretionary RAUM · $115M to $119MJun 13, 2024 to Mar 3, 2025
- HNW RAUM · $39.3M to $25.0MJun 13, 2024 to Mar 3, 2025
- Individual RAUM · $75.3M to $94.0MJun 13, 2024 to Mar 3, 2025
- RAUM · $115M to $119MJun 13, 2024 to Mar 3, 2025
- Advisory employees · 7 to 8Mar 18, 2024 to Jun 13, 2024
- HNW clients · 70 to 76Mar 18, 2024 to Jun 13, 2024
- Individual clients · 478 to 499Mar 18, 2024 to Jun 13, 2024
- Employees · 9 to 10Mar 18, 2024 to Jun 13, 2024
- State-registered IARs · 7 to 8Mar 18, 2024 to Jun 13, 2024
- Discretionary RAUM · $104M to $115MMar 18, 2024 to Jun 13, 2024
- HNW RAUM · $36.0M to $39.3MMar 18, 2024 to Jun 13, 2024
- Individual RAUM · $68.3M to $75.3MMar 18, 2024 to Jun 13, 2024
- RAUM · $104M to $115MMar 18, 2024 to Jun 13, 2024
- Accounts · 440 to 548Jan 29, 2024 to Mar 18, 2024
- HNW clients · 2 to 70Jan 29, 2024 to Mar 18, 2024
- Individual clients · 438 to 478Jan 29, 2024 to Mar 18, 2024
- Financial planning clients · 51-100 to 26-50Jan 29, 2024 to Mar 18, 2024
- Other offices · 0 to 1Jan 29, 2024 to Mar 18, 2024
- Discretionary RAUM · $148M to $104MJan 29, 2024 to Mar 18, 2024
- HNW RAUM · $32.2M to $36.0MJan 29, 2024 to Mar 18, 2024
- Individual RAUM · $116M to $68.3MJan 29, 2024 to Mar 18, 2024
- RAUM · $148M to $104MJan 29, 2024 to Mar 18, 2024
Signals
15 dated events
- Megan Marie Palazzo left Lone Peak Advisers for Consolidated Portfolio Review Corp (registered 2025-03-07)Dec 2, 2024 · Advisor changed firm · fact
- Kimberly A Mallas left Lone Peak Advisers for Consolidated Portfolio Review Corp (registered 2024-02-21)Jan 19, 2024 · Advisor changed firm · fact
- John Travis Hudak (Owner/Not An Employee) no longer on Schedule A of Lone Peak Advisers (listed 2023-05-30, absent 2023-10-06)Oct 6, 2023 · Control person left · inference
- Brett Munson left Lone Peak Advisers for Lpl Enterprise, Llc (registered 2024-11-15)Aug 15, 2023 · Advisor changed firm · fact
- Allen Brett Munson (Principal) no longer on Schedule A of Lone Peak Advisers (listed 2023-02-23, absent 2023-03-10)Mar 10, 2023 · Control person left · inference
- Craig Brimhall Nelson left Lone Peak Advisers for Legacy Cornerstone Wealth Llc (registered 2022-07-26)Sep 20, 2022 · Advisor changed firm · fact
- 2 advisors left Geneos Wealth Management, Inc. (Cedar City, UT) for Lone Peak Advisers on the same dayJul 18, 2022 · Team lift-out · derived
- John Travis Hudak (Owner) appeared on Schedule A of Lone Peak AdvisersDec 17, 2021 · Control person joined · fact
- L Richard Tolotti (Managing Member) no longer on Schedule A of Lone Peak Advisers (listed 2021-05-13, absent 2021-11-09)Nov 9, 2021 · Control person left · inference
- Lone Peak Advisers, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2021 · Succession (Item 4) · fact
- L Richard Tolotti (Member Manager) appeared on Schedule A of Lone Peak AdvisersMar 27, 2021 · Control person joined · fact
- Allen Brett Munson (Chief Compliance Officer) appeared on Schedule A of Lone Peak AdvisersApr 23, 2020 · Control person joined · fact
- Scott Tyler Olson (Chief Compliance Officer) no longer on Schedule A of Lone Peak Advisers (listed 2020-01-24, absent 2020-04-23)Apr 23, 2020 · Control person left · inference
- Scott Tyler Olson (Chief Compliance Officer) appeared on Schedule A of Lone Peak AdvisersFeb 22, 2019 · Control person joined · fact
- Lone Peak Advisers, Inc. filed its initial SEC registration (Form ADV)May 14, 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
- info@lonepeakadvisers.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-855-8886reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- lonepeakadvisers.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 801-855-8886reportedpublic record, Form ADV, Mar 3, 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
- $13.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026