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••••••• W••••• A•••••••• L••
Latest filing Aug 6, 2026
First filing on the tape May 26, 2021 · 17 filings
SEC status approved since Jun 25, 2021
RAUM
$552M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$552M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$50.2M
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$552M as of Aug 6, 2026
Mar 23, 2022$230M then
HNW client RAUM$318M as of Aug 6, 2026
Mar 23, 2022$95.9M then
State-registered IARs (5.B.3)9 as of Aug 6, 2026
Mar 23, 20225 then
Employees (5.A)19 as of Aug 6, 2026
Mar 23, 202210 then
Private funds: no history
RAUM +26% over the last fiscal year+27% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Aug 6, 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
- RAUM per advisor
- $50.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $281,473derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 770reportedItem 5.H
- Custody
- $170M, 338 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$318M58%
- Individuals$234M42%
- Individual clients
- 631reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,961reported
- Financial planning clients
- 770reported
- Wrap fee programs
- noreported
- Custody of client assets
- $170M for 338 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• G• H•••• | Centerville, Ut | Jun 25, 2021 | 18 y | 3 |
| J•••• A•••• M••• | Centerville, Ut | Jun 25, 2021 | 11 y | 4 |
| P••• A••••• C•••• | Centerville, Ut | Jun 25, 2021 | 17 y | 2 |
| M•••• M•••••• P••• | Centerville, Ut | Jun 25, 2021 | 11 y | 2 |
| B••••••• D•••• C•••• | Centerville, Ut | Jun 25, 2021 | 10 y | 1 |
| C••• E•••••• K•••••Certified Financial Planner | Centerville, Ut | Apr 12, 2022 | 14 y | 3 |
| K••• R••• F•••••• | Centerville, Ut | Sep 8, 2023 | 10 y | 0 |
| J•••••• A••• E•••• | Centerville, Ut | Apr 3, 2025 | 10 y | 0 |
| J•••• D•••• V•• L•••••• | Centerville, Ut | May 14, 2025 | 11 y | 0 |
| J•••••• K••• H•••••• S••••••••• | Centerville, Ut | Jun 1, 2026 | 11 y | 0 |
| A•••••••• C••••••••• L•••• | Centerville, Ut | Jul 15, 2026 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••• E•••••• K••••• from P•••••••• W••••• A•••••••• I•••Apr 12, 2022 · RIA to RIA
- J•••• A•••• M••• from T••••••••• C••••••• L••Jun 25, 2021 · RIA to a newly registered adviser
- P••• A••••• C•••• from T••••••••• C••••••• L••Jun 25, 2021 · RIA to a newly registered adviser
- M•••• M•••••• P••• from T••••••••• C••••••• L••Jun 25, 2021 · RIA to a newly registered adviser
- S•••• G• H•••• from T••••••••• C••••••• L••Jun 25, 2021 · RIA to a newly registered adviser
- B••••••• D•••• C•••• from T••••••••• C••••••• L••Jun 25, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from T••••••••• C••••••• L••Nov 22, 2021 · Bountiful, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• P•••• A••••• · Owner/Chief Executive Officercontrolsince 09/2009 · owns 75% or more
- K•••••• C•••• E•••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- C••••• B•••••••• D•••• · Chief Development Officersince 06/2018 · owns less than 5%
- H••••• S••••• G• · Chief Investment Officersince 03/2021 · owns 5% to 10%
- J••••• A•••••• A•• · Chief Of Staffsince 03/2024 · owns less than 5%
- P•••• M••••• M•••••• · Chief Operating Officersince 03/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Centerville, Ut · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,530 to 1,961Oct 24, 2025 to Mar 10, 2026
- HNW clients · 107 to 139Oct 24, 2025 to Mar 10, 2026
- Individual clients · 587 to 631Oct 24, 2025 to Mar 10, 2026
- Assets in custody · unset to 169708525.0Oct 24, 2025 to Mar 10, 2026
- Custody of client assets · false to trueOct 24, 2025 to Mar 10, 2026
- Employees · 14 to 19Oct 24, 2025 to Mar 10, 2026
- State-registered IARs · 7 to 9Oct 24, 2025 to Mar 10, 2026
- Discretionary RAUM · $439M to $552MOct 24, 2025 to Mar 10, 2026
- HNW RAUM · $231M to $318MOct 24, 2025 to Mar 10, 2026
- Individual RAUM · $209M to $234MOct 24, 2025 to Mar 10, 2026
- RAUM · $439M to $552MOct 24, 2025 to Mar 10, 2026
- Related insurance company · false to trueOct 24, 2025 to Mar 10, 2026
- Accounts · 1,426 to 1,530May 1, 2024 to Mar 21, 2025
- HNW clients · 91 to 107May 1, 2024 to Mar 21, 2025
- Individual clients · 546 to 587May 1, 2024 to Mar 21, 2025
- Employees · 13 to 14May 1, 2024 to Mar 21, 2025
- Financial planning clients · More than 500 to More than 500May 1, 2024 to Mar 21, 2025
- Discretionary RAUM · $369M to $439MMay 1, 2024 to Mar 21, 2025
- HNW RAUM · $187M to $231MMay 1, 2024 to Mar 21, 2025
- Individual RAUM · $182M to $209MMay 1, 2024 to Mar 21, 2025
- RAUM · $369M to $439MMay 1, 2024 to Mar 21, 2025
- Accounts · 1,212 to 1,426Dec 1, 2023 to Mar 21, 2024
- Advisory employees · 6 to 7Dec 1, 2023 to Mar 21, 2024
- Advisory activities · 4 to 5Dec 1, 2023 to Mar 21, 2024
- HNW clients · 54 to 91Dec 1, 2023 to Mar 21, 2024
- Individual clients · 562 to 546Dec 1, 2023 to Mar 21, 2024
- Employees · 14 to 13Dec 1, 2023 to Mar 21, 2024
- State-registered IARs · 6 to 7Dec 1, 2023 to Mar 21, 2024
- Discretionary RAUM · $271M to $369MDec 1, 2023 to Mar 21, 2024
- HNW RAUM · $109M to $187MDec 1, 2023 to Mar 21, 2024
- Individual RAUM · $162M to $182MDec 1, 2023 to Mar 21, 2024
- RAUM · $271M to $369MDec 1, 2023 to Mar 21, 2024
- Accounts · 1,014 to 1,212Aug 17, 2022 to Mar 29, 2023
- Advisory employees · 5 to 6Aug 17, 2022 to Mar 29, 2023
- HNW clients · 56 to 54Aug 17, 2022 to Mar 29, 2023
- Individual clients · 474 to 562Aug 17, 2022 to Mar 29, 2023
- Employees · 10 to 14Aug 17, 2022 to Mar 29, 2023
- HQ city · BOUNTIFUL to CENTERVILLEAug 17, 2022 to Mar 29, 2023
- State-registered IARs · 5 to 6Aug 17, 2022 to Mar 29, 2023
- Discretionary RAUM · $230M to $271MAug 17, 2022 to Mar 29, 2023
Signals
3 dated events
- A••••••• W••••• A•••••••• L•• reported RAUM $552.0M, up 26% from $439.5M (2025-10-24 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- Edwards Chad Kelley (Chief Compliance Officer) appeared on Schedule A of A••••••• W••••• A•••••••• L••Mar 21, 2024 · Control person joined · fact
- A••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 26, 2021 · 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
- Firm profile
- linkedin.com/company/awa-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- myretire.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-683-6000reportedpublic record, Form ADV, Aug 6, 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
- $50.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026