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•••• P•••••• W••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2023 · 11 filings
SEC status approved since Apr 26, 2023
RAUM
$268M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$192M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$67.1M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$268M as of Mar 31, 2026
Mar 28, 2024$139M then
HNW client RAUM$175M as of Mar 31, 2026
Mar 28, 2024$83.7M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 28, 20244 then
Employees (5.A)7 as of Mar 31, 2026
Mar 28, 20248 then
Private funds29 as of Mar 31, 2026
Mar 28, 202421 then
RAUM +52% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $67.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $289,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M65%
- Pooled investment vehicles$76.6M29%
- Individuals$16.7M6.2%
- Individual clients
- 42reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 928reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.29 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• K••• S••••••• | Holladay, Ut | Jul 16, 2020 | 13 y | 1 |
| A••• S•••••• | Holladay, Ut | Jun 23, 2022 | 11 y | 0 |
| H••••• J•••• M••••• L••••••• | Holladay, Ut | Aug 1, 2022 | 11 y | 0 |
| Z•••••• B•••• S•••••• | Holladay, Ut | Aug 28, 2024 | 20 y | 0 |
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 headcount1 left over 36 months
Left, latest
- F••••• D•••••• to D•••••• W••••• M•••••••••Mar 7, 2025 · RIA to a state-registered adviser
Joined, latest
- F••••• D•••••• from C•••••• S••••• • C••• I•••Mar 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••••• K••• S••••••• from I••••• C••••••• L••Jul 16, 2020 · RIA to RIA
Private funds
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• V•••••• F••• I• L• | Venture Capital Fund | $4.2M | 29 | Mar 26, 2023 |
| A•••• G••••• F••• I• L• | Venture Capital Fund | $4.2M | 28 | Mar 26, 2023 |
| A•••• O••••••••• F••• C••• L•• | Other Private Fund | $4.0M | 19 | Mar 26, 2023 |
| A•••• O••••••••• F••• V••• L•• | Private Equity Fund | $3.5M | 17 | Mar 26, 2023 |
| A•••• G••••• F••• I•• L• | Venture Capital Fund | $3.2M | 27 | Mar 26, 2023 |
| A•••• V•••••• F••• I•• L• | Venture Capital Fund | $3.1M | 33 | Mar 26, 2023 |
| A•••• O••••••••• F••• G•• L•• | Venture Capital Fund | $3.0M | 8 | Mar 28, 2024 |
| A•••• C••••• L••••• F•••• L• | Venture Capital Fund | $2.6M | 31 | Mar 26, 2023 |
| A•••• O••••••••• F••• A••• L•• | Venture Capital Fund | $2.3M | 18 | Mar 26, 2023 |
| A•••• G••••• F••• I•• L• | Venture Capital Fund | $2.0M | 19 | Mar 28, 2024 |
| A•••• E••••••• V•••••• F••• I•• L• | Venture Capital Fund | $2.0M | 23 | Mar 28, 2024 |
| A•••• O••••••••• F••• P••• L•• | Venture Capital Fund | $2.0M | 34 | Mar 26, 2023 |
| A•••• V•••••• F••• I•• L• | Venture Capital Fund | $1.7M | 16 | Mar 28, 2024 |
| A•••• O••••••••• F••• S••• L•• | Private Equity Fund | $1.6M | 8 | Mar 26, 2023 |
| A•••• O••••••••• F••• T•• L•• | Private Equity Fund | $1.3M | 10 | Mar 28, 2024 |
| A•••• O••••••••• F••• N••• L•• | Private Equity Fund | $1.2M | 4 | Mar 26, 2023 |
| A•••• C••••• F••• I•• L• | Venture Capital Fund | $893,318 | 11 | Mar 28, 2024 |
| A•••• O••••••••• F••• F••• L•• | Private Equity Fund | $565,000 | 13 | Mar 26, 2023 |
| A•••• O••••••••• F••• F••• L•• | Venture Capital Fund | $400,000 | 21 | Mar 26, 2023 |
| A•••• O••••••••• F••• R•• L•• | Venture Capital Fund | $385,000 | 12 | Mar 28, 2024 |
| A•••• O••••••••• F••• E•• L•• | Other Private Fund | $350,000 | 14 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• F••••• · Partner, Coo, And Co-Chief Investment Officercontrolsince 02/2024 · owns less than 5%
- S•••••••• R•••••• K••• · Chief Executive Officer And Chief Compliance Officercontrolsince 06/2020 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C••••• L••••• G•• L••pooled vehicle sponsorn
- A•••• F••• M••••••••• L••pooled vehicle sponsorn
- A•••• G••••• G• I• L••pooled vehicle sponsorn
- A•••• G••••• G• I•• L••pooled vehicle sponsorn
- A•••• V•••••• G• I• L••pooled vehicle sponsorn
- A•••• V•••••• G• I•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Holladay, Ut · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $176,738,174 to $268,494,780 (+52.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 713 to 928Aug 9, 2025 to Mar 31, 2026
- HNW clients · 67 to 75Aug 9, 2025 to Mar 31, 2026
- Individual clients · 34 to 42Aug 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 25 to 29Aug 9, 2025 to Mar 31, 2026
- Private funds · 25 to 29Aug 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $177M to $268MAug 9, 2025 to Mar 31, 2026
- HNW RAUM · $110M to $175MAug 9, 2025 to Mar 31, 2026
- Individual RAUM · $6.9M to $16.7MAug 9, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $140,171 to $0Aug 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $60.1M to $76.6MAug 9, 2025 to Mar 31, 2026
- RAUM · $177M to $268MAug 9, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 51-100Mar 25, 2025 to Jul 8, 2025
- Accounts · 218 to 713Oct 2, 2024 to Mar 25, 2025
- HNW clients · 61 to 67Oct 2, 2024 to Mar 25, 2025
- Individual clients · 37 to 34Oct 2, 2024 to Mar 25, 2025
- Pooled vehicle clients · 21 to 25Oct 2, 2024 to Mar 25, 2025
- Employees · 8 to 7Oct 2, 2024 to Mar 25, 2025
- Private funds · 21 to 25Oct 2, 2024 to Mar 25, 2025
- Discretionary RAUM · $139M to $177MOct 2, 2024 to Mar 25, 2025
- HNW RAUM · $83.7M to $110MOct 2, 2024 to Mar 25, 2025
- Individual RAUM · $11.1M to $6.9MOct 2, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $44,615 to $140,171Oct 2, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $44.4M to $60.1MOct 2, 2024 to Mar 25, 2025
- RAUM · $139M to $177MOct 2, 2024 to Mar 25, 2025
- Accounts · 475 to 218Feb 8, 2024 to Mar 28, 2024
- Advisory employees · 3 to 4Feb 8, 2024 to Mar 28, 2024
- HNW clients · 57 to 61Feb 8, 2024 to Mar 28, 2024
- Individual clients · 24 to 37Feb 8, 2024 to Mar 28, 2024
- Pooled vehicle clients · 13 to 21Feb 8, 2024 to Mar 28, 2024
- Employees · 5 to 8Feb 8, 2024 to Mar 28, 2024
- Financial planning clients · 1-10 to 51-100Feb 8, 2024 to Mar 28, 2024
- State-registered IARs · 3 to 4Feb 8, 2024 to Mar 28, 2024
- Private funds · 13 to 21Feb 8, 2024 to Mar 28, 2024
- Discretionary RAUM · $103M to $139MFeb 8, 2024 to Mar 28, 2024
- HNW RAUM · $70.3M to $83.7MFeb 8, 2024 to Mar 28, 2024
- Individual RAUM · $4.3M to $11.1MFeb 8, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $122,540 to $44,615Feb 8, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $28.5M to $44.4MFeb 8, 2024 to Mar 28, 2024
- RAUM · $103M to $139MFeb 8, 2024 to Mar 28, 2024
Signals
3 dated events
- F••••• D•••••• left A•••• P•••••• W••••• L•• for D•••••• W••••• M••••••••• (registered 2025-06-16)Mar 7, 2025 · Advisor changed firm · fact
- F••••• D•••••• (Partner, Coo, And Co-Chief Investment Officer) appeared on Schedule A of A•••• P•••••• W••••• L••Mar 28, 2024 · Control person joined · fact
- A•••• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Mar 26, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• P•••••• W••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••• P•••••• W••••• L•• · Private Equityshared crd · organization
- A•••• P•••••• W••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 435-252-1099reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/athos-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ATHOSWEALTH.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 435-252-1099reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- athoswealth.com/our-teamreportedpublished 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
- $67.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026