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
U••••• W••••• M••••••••• L••
Latest filing Jan 26, 2026
First filing on the tape May 6, 2019 · 20 filings
SEC status approved since Jun 3, 2019
RAUM
$261M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$245M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
3
1 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$261M as of Jan 26, 2026
Feb 10, 2020$127M then
HNW client RAUM$236M as of Jan 26, 2026
Feb 10, 2020$125M then
State-registered IARs (5.B.3)2 as of Jan 26, 2026
Feb 10, 20201 then
Employees (5.A)3 as of Jan 26, 2026
Feb 10, 20201 then
Private funds: no history
RAUM +31% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M96%
- Individuals$9.4M3.8%
- Individual clients
- 19reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 234reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• A• C•••••••••Certified Financial Planner | Coconut Creek, Fl | Feb 15, 2019 | 10 y | 0 |
| M•••••• A••••••• | Parkland, Fl | Jan 31, 2023 | 35 y | 4 |
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•••••• A••••••• from C•••••••• G••••• M•••••• I•••Jan 31, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• N•••••••• A• · Founder/Wealth Advisor/Managing Member/Chief Compliance Officercontrolsince 12/2018 · 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 |
|---|---|---|---|---|---|
| Coconut Creek, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 188 to 234Sep 29, 2025 to Jan 26, 2026
- HNW clients · 27 to 39Sep 29, 2025 to Jan 26, 2026
- Individual clients · 20 to 19Sep 29, 2025 to Jan 26, 2026
- Financial planning clients · 26-50 to 51-100Sep 29, 2025 to Jan 26, 2026
- Discretionary RAUM · $200M to $261MSep 29, 2025 to Jan 26, 2026
- HNW RAUM · $163M to $236MSep 29, 2025 to Jan 26, 2026
- Individual RAUM · $11.9M to $9.4MSep 29, 2025 to Jan 26, 2026
- RAUM · $200M to $261MSep 29, 2025 to Jan 26, 2026
- Financial planning clients · 26-50 to 26-50Mar 7, 2025 to May 29, 2025
- Employees · 2 to 3Jan 28, 2025 to Mar 7, 2025
- Accounts · 174 to 188Jan 31, 2024 to Jan 28, 2025
- HNW clients · 24 to 27Jan 31, 2024 to Jan 28, 2025
- Individual clients · 24 to 20Jan 31, 2024 to Jan 28, 2025
- Discretionary RAUM · $173M to $200MJan 31, 2024 to Jan 28, 2025
- HNW RAUM · $146M to $163MJan 31, 2024 to Jan 28, 2025
- Individual RAUM · $10.8M to $11.9MJan 31, 2024 to Jan 28, 2025
- RAUM · $173M to $200MJan 31, 2024 to Jan 28, 2025
- Accounts · 138 to 174Feb 9, 2023 to Jan 29, 2024
- HNW clients · 14 to 24Feb 9, 2023 to Jan 29, 2024
- Individual clients · 35 to 24Feb 9, 2023 to Jan 29, 2024
- Discretionary RAUM · $141M to $173MFeb 9, 2023 to Jan 29, 2024
- HNW RAUM · $127M to $146MFeb 9, 2023 to Jan 29, 2024
- Individual RAUM · $14.2M to $10.8MFeb 9, 2023 to Jan 29, 2024
- RAUM · $141M to $173MFeb 9, 2023 to Jan 29, 2024
- Accounts · 81 to 138Jun 29, 2022 to Feb 9, 2023
- Corporate clients · 1.0 to unsetJun 29, 2022 to Feb 9, 2023
- HNW clients · 11 to 14Jun 29, 2022 to Feb 9, 2023
- Individual clients · 20 to 35Jun 29, 2022 to Feb 9, 2023
- Employees · 1 to 2Jun 29, 2022 to Feb 9, 2023
- Financial planning clients · 11-25 to 26-50Jun 29, 2022 to Feb 9, 2023
- State-registered IARs · 1 to 2Jun 29, 2022 to Feb 9, 2023
- Discretionary RAUM · $130M to $141MJun 29, 2022 to Feb 9, 2023
- HNW RAUM · $123M to $127MJun 29, 2022 to Feb 9, 2023
- Individual RAUM · $6.7M to $14.2MJun 29, 2022 to Feb 9, 2023
- RAUM · $130M to $141MJun 29, 2022 to Feb 9, 2023
- Accounts · 66 to 81Jul 20, 2021 to Mar 9, 2022
- Corporate clients · unset to 1.0Jul 20, 2021 to Mar 9, 2022
- HNW clients · 15 to 11Jul 20, 2021 to Mar 9, 2022
- Individual clients · 12 to 20Jul 20, 2021 to Mar 9, 2022
- Discretionary RAUM · $152M to $130MJul 20, 2021 to Mar 9, 2022
Signals
1 dated events
- U••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U••••• W••••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 754-264-4778reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/utopia-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- u•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 754-264-4778reportedpublic record, Form ADV, Jan 26, 2026
- Team page
- u•••••••••.comreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026