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
A••••• I••••••••• P•••••••
Legal name K•••••• N••••• • W••••• L••
Latest filing Jun 24, 2026
First filing on the tape Mar 24, 2020 · 25 filings
SEC status approved since Apr 23, 2020
RAUM
$661M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$620M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$661M as of Jun 24, 2026
Mar 23, 2021$385M then
HNW client RAUM$448M as of Jun 24, 2026
Mar 23, 2021$185M then
State-registered IARs (5.B.3)5 as of Jun 24, 2026
Mar 23, 20216 then
Employees (5.A)9 as of Jun 24, 2026
Mar 23, 20219 then
Private funds: no history
RAUM +6.9% over the last fiscal year+13% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $311,693derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$448M68%
- Individuals$173M26%
- Charitable organizations$14.8M2.2%
- Pension and profit-sharing plans$14.6M2.2%
- Corporations and businesses$11.5M1.7%
- Individual clients
- 748reported
- HNW clients
- 183reported
- Pension plan clients
- 15reported
- Charitable clients
- 8reported
- Accounts
- 2,122reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $0 sponsored, $659M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• W••• K••••• | Ogden, Ut | Jul 29, 2020 | 15 y | 1 |
| C••••••••• D••• K••••• | Ogden, Ut | Jul 29, 2020 | 14 y | 1 |
| G•••••• G••• S•••• | Logan, Ut | Jul 29, 2020 | 14 y | 1 |
| P••• M• N•••••Certified Financial Planner | Logan, Ut | Jul 29, 2020 | 38 y | 2 |
| D•••• J•••• W•••• | Ogden, Ut | Jul 29, 2020 | 33 y | 2 |
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
- D•••• J•••• W•••• from W•••• F•••• A•••••••Jul 29, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• W••• K••••• from W•••• F•••• A•••••••Jul 29, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••••••• D••• K••••• from W•••• F•••• A•••••••Jul 29, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G•••••• G••• S•••• from W•••• F•••• A•••••••Jul 29, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••• M• N••••• from W•••• F•••• A•••••••Jul 29, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from W•••• F•••• A•••••••Jul 27, 2020 · Ogden, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••• W••• · Ownercontrolsince 02/2024 · owns 10% to 25%
- K•••••• K••••• C•••• · Managing Membercontrolsince 03/2020 · owns less than 5%
- N•••••• P•••• M• · Managing Membercontrolsince 03/2020 · owns less than 5%
- S••••• G••••••• G••• · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- W••••• D••••• J•••• · Managing Membercontrolsince 03/2020 · owns less than 5%
- K•••••• C••••••••• D••• · Owner Of Cd K••••• W••••• M••••••••• I••controlsince 02/2024 · owns 75% or more of C• K••••• W••••• M••••••••• I•••
- N•••••• P•••• M• · Owner Of P• N••••• W••••• M••••••••• I••controlsince 03/2020 · owns 75% or more of P• N••••• W••••• M••••••••• I••
- S••••• G••••••• G••• · Owner Of Ggs Wealth Management Inccontrolsince 02/2024 · owns 75% or more of G•• W••••• M••••••••• I•••
- W••••• D••••• J•••• · Owner Of H••••• P••••••••• L••controlsince 03/2020 · owns 75% or more of H••••• P••••••••• L••
Entity owners
- C• K••••• W••••• M••••••••• I••• · Ownerdirect · owns 10% to 25%
- G•• W••••• M••••••••• I••• · Ownerdirect · owns 10% to 25%
- H••••• P••••••••• L•• · Ownerdirect · owns 10% to 25%
- K••••• W••••• M••••••••• I•• · Ownerdirect · owns 25% to 50%
- P• N••••• W••••• M••••••••• I•• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Ogden, Ut · principal | 5 | 0 | 0 | ||
| Logan, Ut | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Logan, UT2 employees
What changed
consecutive filings, newest first
- Employees · 8 to 9Mar 9, 2026 to Jun 24, 2026
- Accounts · 2,322 to 2,122Aug 22, 2025 to Mar 9, 2026
- Advisory employees · 6 to 5Aug 22, 2025 to Mar 9, 2026
- Advisory activities · 5 to 6Aug 22, 2025 to Mar 9, 2026
- Charity clients · 3 to 8Aug 22, 2025 to Mar 9, 2026
- Corporate clients · 29 to 7Aug 22, 2025 to Mar 9, 2026
- HNW clients · 188 to 183Aug 22, 2025 to Mar 9, 2026
- Individual clients · 721 to 748Aug 22, 2025 to Mar 9, 2026
- Pension plan clients · 17 to 15Aug 22, 2025 to Mar 9, 2026
- Employees · 9 to 8Aug 22, 2025 to Mar 9, 2026
- State-registered IARs · 6 to 5Aug 22, 2025 to Mar 9, 2026
- Discretionary RAUM · $610M to $659MAug 22, 2025 to Mar 9, 2026
- HNW RAUM · $413M to $448MAug 22, 2025 to Mar 9, 2026
- Individual RAUM · $137M to $173MAug 22, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $9.0M to $2.1MAug 22, 2025 to Mar 9, 2026
- Pension RAUM · $12.2M to $14.6MAug 22, 2025 to Mar 9, 2026
- RAUM · $619M to $661MAug 22, 2025 to Mar 9, 2026
- Wrap assets (manager) · $585M to $659MAug 22, 2025 to Mar 9, 2026
- Financial planning clients · More than 500 to More than 500Mar 28, 2025 to Jun 13, 2025
- Accounts · 1,992 to 2,322Oct 25, 2024 to Mar 28, 2025
- Corporate clients · 5 to 29Oct 25, 2024 to Mar 28, 2025
- HNW clients · 104 to 188Oct 25, 2024 to Mar 28, 2025
- Individual clients · 711 to 721Oct 25, 2024 to Mar 28, 2025
- Pension plan clients · 8 to 17Oct 25, 2024 to Mar 28, 2025
- Financial planning clients · 0 to More than 500Oct 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $483M to $610MOct 25, 2024 to Mar 28, 2025
- HNW RAUM · $284M to $413MOct 25, 2024 to Mar 28, 2025
- Individual RAUM · $185M to $137MOct 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $27.9M to $9.0MOct 25, 2024 to Mar 28, 2025
- Pension RAUM · $9.8M to $12.2MOct 25, 2024 to Mar 28, 2025
- RAUM · $511M to $619MOct 25, 2024 to Mar 28, 2025
- Wrap assets (manager) · $0 to $585MOct 25, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $2.6M to $0Oct 25, 2024 to Mar 28, 2025
- Accounts · 1,624 to 1,992Mar 9, 2023 to Mar 21, 2024
- Charity clients · unset to 3.0Mar 9, 2023 to Mar 21, 2024
- HNW clients · 150 to 104Mar 9, 2023 to Mar 21, 2024
- Individual clients · 637 to 711Mar 9, 2023 to Mar 21, 2024
- Discretionary RAUM · $430M to $483MMar 9, 2023 to Mar 21, 2024
- HNW RAUM · $335M to $284MMar 9, 2023 to Mar 21, 2024
- Individual RAUM · $117M to $185MMar 9, 2023 to Mar 21, 2024
Signals
5 dated events
- Ward Brent Keller (Owner) appeared on Schedule A of A••••• I••••••••• P•••••••Mar 21, 2024 · Control person joined · fact
- Dean Christopher Kesler (Owner Of Cd K••••• W••••• M••••••••• I••) appeared on Schedule A of A••••• I••••••••• P•••••••Mar 21, 2024 · Control person joined · fact
- A••••• I••••••••• P••••••• reported RAUM $493.4M, up 28% from $384.9M (2021-03-23 to 2022-02-14)Feb 14, 2022 · RAUM change · derived
- Gill Garrett Smith (Chief Compliance Officer) appeared on Schedule A of A••••• I••••••••• P•••••••Nov 3, 2020 · Control person joined · fact
- A••••• I••••••••• P••••••• filed its initial SEC registration (Form ADV)Mar 24, 2020 · 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (801) 476-1200reportedpublic record, Form ADV, Jun 24, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026