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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Former SEC-registered adviser

U••• P•••• C••••••

Former SEC-registered adviserPark City, UtahCRD 318446SEC 801-123387IAPD
Legal name U••• P•••• C••••••• I•••
Latest filing May 4, 2023
First filing on the tape Feb 3, 2022 · 5 filings
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.8B gross assets
History
5 filings and snapshots on the tape
RAUM$300M as of May 4, 2023
Feb 3, 2022$0 then
HNW client RAUM$0 as of May 4, 2023
Feb 3, 2022$0 then
State-registered IARs (5.B.3)0 as of May 4, 2023
Feb 3, 20220 then
Employees (5.A)10 as of May 4, 2023
Feb 3, 20223 then
Private funds1 as of May 4, 2023
Feb 3, 20221 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$300MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$300M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••• P••• A•••• P•• L••Hedge Fund$1.8B30Feb 3, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• A•••••• D•••• · President / Secretary / Directorcontrol
        since 11/2021 · owns less than 5%
      • K•••••• N•••••• A•••• · Chief Compliance Officercontrol
        since 05/2023 · owns less than 5%
      • W••••••• E•••• J••• · Member / Vice President / Treasurercontrol
        since 11/2021 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 10
        Aug 31, 2022 to Mar 8, 2023
      • Employees · 9 to 10
        Aug 31, 2022 to Mar 8, 2023
      • Financial planning clients · 0 to unset
        Aug 31, 2022 to Mar 8, 2023
      • Accounts · 0 to 1
        Feb 3, 2022 to Jul 5, 2022
      • Advisory employees · 3 to 9
        Feb 3, 2022 to Jul 5, 2022
      • Pooled vehicle clients · 0 to 1
        Feb 3, 2022 to Jul 5, 2022
      • Employees · 3 to 9
        Feb 3, 2022 to Jul 5, 2022
      • Discretionary RAUM · $0 to $300M
        Feb 3, 2022 to Jul 5, 2022
      • Pooled vehicle RAUM · $0 to $300M
        Feb 3, 2022 to Jul 5, 2022
      • RAUM · $0 to $300M
        Feb 3, 2022 to Jul 5, 2022
      Signals
      5 dated events
      • Nmn Daniel Zgodny (Chief Compliance Officer) no longer on Schedule A of U••• P•••• C•••••• (listed 2023-03-08, absent 2023-05-04)
        May 4, 2023 · Control person left · inference
      • Allen Nathan Keefer (Chief Compliance Officer) appeared on Schedule A of U••• P•••• C••••••
        May 4, 2023 · Control person joined · fact
      • James Simon Lennon (Chief Compliance Officer) no longer on Schedule A of U••• P•••• C•••••• (listed 2022-07-05, absent 2022-08-31)
        Aug 31, 2022 · Control person left · inference
      • Nmn Daniel Zgodny (Chief Compliance Officer) appeared on Schedule A of U••• P•••• C••••••
        Aug 31, 2022 · Control person joined · fact
      • U••• P•••• C•••••• filed its initial SEC registration (Form ADV)
        Feb 3, 2022 · 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.
      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
      Former SEC-registered adviserderiveda 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