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
T•••• W••••• G•••• L••
Latest filing Mar 25, 2026
First filing on the tape Jun 9, 2023 · 12 filings
SEC status approved since Jul 31, 2023
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$195M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$34.0M
derived; firm RAUM over IAPD count
Employees
24
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$204M as of Mar 25, 2026
Mar 22, 2024$128M then
HNW client RAUM$5.0M as of Mar 25, 2026
Mar 22, 2024$0 then
State-registered IARs (5.B.3)8 as of Mar 25, 2026
Mar 22, 20248 then
Employees (5.A)24 as of Mar 25, 2026
Mar 22, 202422 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 9 to 8
Practice profile
derived from the filing of Mar 25, 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
- $34.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $84,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $75.7M, 290 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$190M93%
- Corporations and businesses$7.4M3.6%
- High-net-worth individuals$5.0M2.5%
- Pension and profit-sharing plans$1.1M0.5%
- Charitable organizations$40,0000.0%
- Individual clients
- 827reported
- HNW clients
- 1reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 2,417reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.7M for 290 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• B••• A•••••••• | Murray, Ut | Feb 1, 2021 | 14 y | 2 |
| D•••••• S•••• F•••••• | Murray, Ut | Feb 1, 2021 | 14 y | 2 |
| D••••• J•••• W••••••• | Murray, Ut | Apr 14, 2022 | 13 y | 1 |
| S••• S•••Certified Financial Planner | Murray, Ut | Apr 8, 2024 | 15 y | 1 |
| S•••••• D•••••• W••• | Murray, Ut | Oct 30, 2024 | 10 y | 0 |
| C••••••••• C••• | Murray, Ut | Dec 22, 2025 | 13 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount4 left over 36 months
Left, latest
- P••••• J• B••••• to M••••• S••••••Jan 12, 2026 · RIA to wirehouse
- S••••• M••••• S••••• to L•• F•••••••• L••Sep 22, 2025 · RIA to affiliated broker-dealer or bank
- S•••• T••••• R•••• to J••• M••••• S••••••••• L••May 28, 2025 · RIA to wirehouse
- R•••• L•• S•••••••• to M• F•••••••• L••Nov 27, 2023 · RIA to a state-registered adviser
- B•••• T•••• to C••• L••Sep 11, 2023 · RIA to affiliated broker-dealer or bank
- M••••• R••• N••••• to M• F•••••••• L••May 22, 2023 · RIA to a state-registered adviser
- B•••••• P••• W•••• to F••••••••• I••••••••• A••••••• L••Mar 7, 2023 · RIA to RIA
- C••••• M••••••• S••••••• to F••••••••• I••••••••• A••••••• L••Jan 9, 2023 · RIA to RIA
- J•••• N• D•••• to F•••• F•••••• A•••••••Aug 23, 2022 · RIA to a state-registered adviser
- J••••• W•••••• A•••• to C•••••• W••••• M••••••••• L••Aug 23, 2022 · RIA to RIA
- B•• B••••••• to C•••••• W••••• M••••••••• L••Feb 23, 2022 · RIA to RIA
Joined, latest
- C••••••••• C••• from T••••••• I••••••••• M••••••••• I•••Dec 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••• M••••• S••••• from L•• F•••••••• L••Apr 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••• S••• from W••••••••• R••••••••• A•••••••Apr 8, 2024 · Other
- S•••• T••••• R•••• from V•••• F•••••••• A•••••••• I•••Mar 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••• T•••• from D••••• R••••••••• P••••••• I•••Sep 6, 2022 · RIA to RIA
- B•••••• P••• W•••• from N•• M••••••••• G••••May 19, 2022 · RIA to RIA
- C••••• M••••••• S••••••• from N•• M••••••••• G••••May 9, 2022 · RIA to RIA
- M••••• R••• N••••• from N•• M••••••••• G••••May 9, 2022 · RIA to RIA
- D••••• J•••• W••••••• from T••••••••• F•••••••• A•••••••• L••Apr 14, 2022 · Other
- J•••• N• D•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• B••• A•••••••• from S••••• M•••••••••Feb 1, 2021 · RIA to RIA
- B•• B••••••• from S••••• M•••••••••Feb 1, 2021 · RIA to RIA
- D•••••• S•••• F•••••• from S••••• M•••••••••Feb 1, 2021 · RIA to RIA
- J••••• W•••••• A•••• from S••••• M•••••••••Feb 1, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• M•••••••••May 23, 2024 · North Little Rock, Ar
- 3 joined from N•• M••••••••• G••••Apr 12, 2022 · Sandy, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C••••••• B••• · Ceocontrolsince 10/2020 · owns less than 5%
- F••••••• D••••••• S•••• · Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- A••••••••• C••••••• B••• · Ownersince 01/2019 · owns 75% or more of C• W••••• M••••••••• I••
Entity owners
- C• W••••• M••••••••• I•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•••• W••••• M••••••••• L••real estaten
Advisers that list T•••• W••••• G•••• L•• as a related person
- 127145 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Murray, Ut · principal | 6 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Kamas, UT1 employees
- St. George, UT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 25, 2026employees per registered advisor of 4.0 against a peer median of 1.2 (1314 comparable advisers, 99.0th percentile, 9.4 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,975 to 2,417Jun 24, 2025 to Mar 25, 2026
- Advisory employees · 9 to 8Jun 24, 2025 to Mar 25, 2026
- HNW clients · 0 to 1Jun 24, 2025 to Mar 25, 2026
- Individual clients · 766 to 827Jun 24, 2025 to Mar 25, 2026
- Pension plan clients · 7 to 8Jun 24, 2025 to Mar 25, 2026
- Assets in custody · $22.7M to $75.7MJun 24, 2025 to Mar 25, 2026
- Insurance-licensed employees · 2 to 0Jun 24, 2025 to Mar 25, 2026
- State-registered IARs · 9 to 8Jun 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $165M to $204MJun 24, 2025 to Mar 25, 2026
- HNW RAUM · $0 to $5.0MJun 24, 2025 to Mar 25, 2026
- Individual RAUM · $157M to $190MJun 24, 2025 to Mar 25, 2026
- Pension RAUM · $707,491 to $1.1MJun 24, 2025 to Mar 25, 2026
- RAUM · $165M to $204MJun 24, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 24, 2025
- Accounts · 1,903 to 1,975Feb 13, 2025 to Mar 27, 2025
- Advisory employees · 8 to 9Feb 13, 2025 to Mar 27, 2025
- Charity clients · 0 to 1Feb 13, 2025 to Mar 27, 2025
- Corporate clients · 9 to 12Feb 13, 2025 to Mar 27, 2025
- Individual clients · 722 to 766Feb 13, 2025 to Mar 27, 2025
- Assets in custody · $42.2M to $22.7MFeb 13, 2025 to Mar 27, 2025
- Employees · 22 to 24Feb 13, 2025 to Mar 27, 2025
- State-registered IARs · 8 to 9Feb 13, 2025 to Mar 27, 2025
- Discretionary RAUM · $128M to $165MFeb 13, 2025 to Mar 27, 2025
- Individual RAUM · $119M to $157MFeb 13, 2025 to Mar 27, 2025
- Pension RAUM · $525,865 to $707,491Feb 13, 2025 to Mar 27, 2025
- RAUM · $128M to $165MFeb 13, 2025 to Mar 27, 2025
- Related insurance company · false to trueFeb 13, 2025 to Mar 27, 2025
- Accounts · 2,108 to 1,903Aug 28, 2023 to Mar 22, 2024
- Advisory employees · 9 to 8Aug 28, 2023 to Mar 22, 2024
- Charity clients · 1 to 0Aug 28, 2023 to Mar 22, 2024
- Corporate clients · 10 to 9Aug 28, 2023 to Mar 22, 2024
- HNW clients · 1 to 0Aug 28, 2023 to Mar 22, 2024
- Individual clients · 817 to 722Aug 28, 2023 to Mar 22, 2024
- Pension plan clients · 16 to 7Aug 28, 2023 to Mar 22, 2024
- Assets in custody · unset to 42152929.0Aug 28, 2023 to Mar 22, 2024
- Custody of client assets · false to trueAug 28, 2023 to Mar 22, 2024
- State-registered IARs · 9 to 8Aug 28, 2023 to Mar 22, 2024
- Other offices · 1 to 2Aug 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $127M to $128MAug 28, 2023 to Mar 22, 2024
- HNW RAUM · $5.0M to $0Aug 28, 2023 to Mar 22, 2024
Signals
14 dated events
- P••••• J• B••••• left T•••• W••••• G•••• L•• for M••••• S•••••• (registered 2026-01-30)Jan 12, 2026 · Advisor changed firm · fact
- S••••• M••••• S••••• left T•••• W••••• G•••• L•• for L•• F•••••••• L•• (registered 2025-10-02)Sep 22, 2025 · Advisor changed firm · fact
- S•••• T••••• R•••• left T•••• W••••• G•••• L•• for J••• M••••• S••••••••• L•• (registered 2025-09-29)May 28, 2025 · Advisor changed firm · fact
- 2 advisors left S••••• M••••••••• (North Little Rock, AR) for T•••• W••••• G•••• L•• on the same dayMay 23, 2024 · Team lift-out · derived
- R•••• L•• S•••••••• left T•••• W••••• G•••• L•• for M• F•••••••• L•• (registered 2023-11-27)Nov 27, 2023 · Advisor changed firm · fact
- B•••• T•••• left T•••• W••••• G•••• L•• for C••• L•• (registered 2023-09-27)Sep 11, 2023 · Advisor changed firm · fact
- T•••• W••••• G•••• L•• filed its initial SEC registration (Form ADV)Jun 9, 2023 · First SEC registration · fact
- M••••• R••• N••••• left T•••• W••••• G•••• L•• for M• F•••••••• L•• (registered 2024-01-17)May 22, 2023 · Advisor changed firm · fact
- B•••••• P••• W•••• left T•••• W••••• G•••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2023-05-08)Mar 7, 2023 · Advisor changed firm · fact
- C••••• M••••••• S••••••• left T•••• W••••• G•••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2023-01-10)Jan 9, 2023 · Advisor changed firm · fact
- J••••• W•••••• A•••• left T•••• W••••• G•••• L•• for C•••••• W••••• M••••••••• L•• (registered 2022-09-08)Aug 23, 2022 · Advisor changed firm · fact
- J•••• N• D•••• left T•••• W••••• G•••• L•• for F•••• F•••••• A••••••• (registered 2022-08-19)Aug 23, 2022 · Advisor changed firm · fact
- 3 advisors left N•• M••••••••• G•••• (Sandy, UT) for T•••• W••••• G•••• L•• within 10 daysApr 12, 2022 · Team lift-out · derived
- B•• B••••••• left T•••• W••••• G•••• L•• for C•••••• W••••• M••••••••• L•• (registered 2022-03-09)Feb 23, 2022 · Advisor changed firm · 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
- retireteton.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 844-838-6600reportedpublic record, Form ADV, Mar 25, 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
- $34.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026