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••••• V•••• C••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Nov 14, 2024 · 5 filings
SEC status approved since Dec 13, 2024
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$67.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$122M as of Mar 17, 2026
Mar 14, 2025$133M then
HNW client RAUM$67.0M as of Mar 17, 2026
Mar 14, 2025$78.3M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 14, 20251 then
Employees (5.A)1 as of Mar 17, 2026
Mar 14, 20251 then
Private funds: no history
RAUM -8.1% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 institutionsreportedItem 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
- High-net-worth individuals$67.0M55%
- Insurance companies$55.0M45%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.45 related_bd= related_bank= bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••• · Ceo And Ccocontrolsince 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 8, 2026institutional share of RAUM of 45% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 15.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 17, 2026 to Sep 8, 2026
- HQ city · to unsetMar 17, 2026 to Sep 8, 2026
- HQ state · to unsetMar 17, 2026 to Sep 8, 2026
- Related adviser · false to unsetMar 17, 2026 to Sep 8, 2026
- Related bank · false to unsetMar 17, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetMar 17, 2026 to Sep 8, 2026
- Related insurance company · false to unsetMar 17, 2026 to Sep 8, 2026
- Succession · false to unsetMar 17, 2026 to Sep 8, 2026
- Accounts · 20 to 18Mar 14, 2025 to Mar 17, 2026
- Advisory activities · 1 to 2Mar 14, 2025 to Mar 17, 2026
- HNW clients · 9 to 8Mar 14, 2025 to Mar 17, 2026
- Discretionary RAUM · $133M to $122MMar 14, 2025 to Mar 17, 2026
- HNW RAUM · $78.3M to $67.0MMar 14, 2025 to Mar 17, 2026
- RAUM · $133M to $122MMar 14, 2025 to Mar 17, 2026
- Financial planning clients · 11-25 to 11-25Nov 21, 2024 to Mar 14, 2025
- HQ city · unset to Nov 21, 2024 to Mar 14, 2025
- HQ state · unset to Nov 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $129M to $133MNov 21, 2024 to Mar 14, 2025
- HNW RAUM · $74.3M to $78.3MNov 21, 2024 to Mar 14, 2025
- RAUM · $129M to $133MNov 21, 2024 to Mar 14, 2025
Signals
1 dated events
- U••••• V•••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 2024 · 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
- i•••@u•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- u•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 801-310-8101reportedpublic record, Form ADV, Sep 8, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026