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
R•••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 2, 2022 · 27 filings
SEC status approved since Sep 1, 2022
RAUM
$201M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$135M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$201M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$201M as of Mar 30, 2026
Mar 8, 2023$280M then
HNW client RAUM$82.9M as of Mar 30, 2026
Mar 8, 2023$139M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 8, 20238 then
Employees (5.A)3 as of Mar 30, 2026
Mar 8, 20238 then
Private funds6 as of Mar 30, 2026
Mar 8, 20238 then
RAUM +22% over the last fiscal year-10% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Mar 30, 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
- 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 private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $201MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 322derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $920,805derivedHNW RAUM over HNW clients
- Average account
- $615,179derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $68.9M, 50 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
- High-net-worth individuals$82.9M41%
- Pooled investment vehicles$66.4M33%
- Individuals$51.9M26%
- Individual clients
- 232reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 327reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $68.9M for 50 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.67 fund_share=0.33 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R• M•••••• T••••• | Farmington, Ut | Sep 12, 2022 | 24 y | 7 |
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
- N••••• S•••• V••••• to B••••••• R••••••••• A•••••••• L••May 16, 2023 · RIA to RIA
- J•••• C••• to P•• A•••••••May 8, 2023 · RIA to RIA
Joined, latest
- N••••• S•••• V••••• from F•••••••• W••••• M••••••••• L••Nov 14, 2022 · RIA to RIA
- J•••• C••• from F•••••••• W••••• M••••••••• L••Nov 10, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••••• W••••• M••••••••• L••Nov 7, 2022 · Draper, Ut
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• P••••••• T••••••• E••••• F•••• L• | Hedge Fund | $35.0M | 65 | Sep 29, 2022 |
| R•••••• P••••••• E••••• F••• | Hedge Fund | $25.0M | 85 | Sep 12, 2022 |
| R•••••• P••••••• I••••• F••• I••• L•no longer reported | Hedge Fund | $23.0M | 45 | Sep 12, 2022 |
| R•••••• P••••••• I••••• F••• V• L• | Hedge Fund | $7.0M | 10 | Jul 20, 2023 |
| R•••••• P••••••• I••••• F•••• L•no longer reported | Hedge Fund | $5.0M | 7 | Sep 12, 2022 |
| R•••••• P••• E••••• F•••• L• | Hedge Fund | $3.0M | 17 | Sep 12, 2022 |
| R•••••• P••••••• L•• V••••••••• F•••• L• | Hedge Fund | $1.5M | 5 | Mar 20, 2024 |
| R•••••• P••••••• E••••• A•••• F•••• L• | Hedge Fund | $10,000 | 25 | Sep 12, 2022 |
| R•••••• P••••••• I••••• F••• I•• L• | Hedge Fund | $15 | 15 | Sep 12, 2022 |
| R•••••• P••••••• E••••• F••• I•• L• | Hedge Fund | $12 | 35 | Sep 12, 2022 |
| R•••••• P••••••• I••••• F••• I•• L• | Hedge Fund | $0 | 0 | Jul 20, 2023 |
| R•••••• P••••••• F•••• L• | Hedge Fund | $0 | 0 | Aug 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• R••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2020 · owns 75% or more
Related persons
Schedule D 7.A
- R•••••• P••• E••••• P•••••••• L••pooled vehicle sponsorn
- R•••••• P••••••• E••••• A•••• P•••••••• L••pooled vehicle sponsorn
- R•••••• P••••••• E••••• P••••••• I•• L••pooled vehicle sponsorn
- R•••••• P••••••• E••••• P•••••••• L••pooled vehicle sponsorn
- R•••••• P••••••• I••••• P••••••• I•• L••pooled vehicle sponsorn
- R•••••• P••••••• I••••• P••••••• I•• L••pooled vehicle sponsorn
- R•••••• P••••••• I••••• P••••••• V• L••pooled vehicle sponsorn
- R•••••• P••••••• T••••••• E••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 1.0 (-80.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was 0.0% (965 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 0.6% percentile
What changed
consecutive filings, newest first
- Accounts · 405 to 327Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 5 to 1Jan 15, 2026 to Mar 30, 2026
- HNW clients · 252 to 90Jan 15, 2026 to Mar 30, 2026
- Individual clients · 145 to 232Jan 15, 2026 to Mar 30, 2026
- Pooled vehicle clients · 8 to 5Jan 15, 2026 to Mar 30, 2026
- Assets in custody · $62.6M to $68.9MJan 15, 2026 to Mar 30, 2026
- Employees · 5 to 3Jan 15, 2026 to Mar 30, 2026
- State-registered IARs · 5 to 1Jan 15, 2026 to Mar 30, 2026
- Private funds · 8 to 6Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $166M to $201MJan 15, 2026 to Mar 30, 2026
- HNW RAUM · $87.3M to $82.9MJan 15, 2026 to Mar 30, 2026
- Individual RAUM · $16.3M to $51.9MJan 15, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $61.8M to $66.4MJan 15, 2026 to Mar 30, 2026
- RAUM · $166M to $201MJan 15, 2026 to Mar 30, 2026
- Assets in custody · $104M to $62.6MMar 28, 2025 to Aug 14, 2025
- HQ city · SAN JUAN to Mar 28, 2025 to Aug 14, 2025
- HQ state · PR to Mar 28, 2025 to Aug 14, 2025
- Accounts · 884 to 405Sep 12, 2024 to Mar 28, 2025
- HNW clients · 311 to 252Sep 12, 2024 to Mar 28, 2025
- Individual clients · 573 to 145Sep 12, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 8Sep 12, 2024 to Mar 28, 2025
- Assets in custody · $220M to $104MSep 12, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 12, 2024 to Mar 28, 2025
- Private funds · 10 to 8Sep 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $217M to $166MSep 12, 2024 to Mar 28, 2025
- HNW RAUM · $62.5M to $87.3MSep 12, 2024 to Mar 28, 2025
- Individual RAUM · $54.5M to $16.3MSep 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $100M to $61.8MSep 12, 2024 to Mar 28, 2025
- RAUM · $217M to $166MSep 12, 2024 to Mar 28, 2025
- Insurance-licensed employees · 1 to 0Sep 10, 2024 to Sep 12, 2024
- HQ city · SALT LAKE CITY to SAN JUANAug 30, 2024 to Sep 10, 2024
- HQ state · UT to PRAug 30, 2024 to Sep 10, 2024
- Private funds · 9 to 10Mar 20, 2024 to Aug 30, 2024
- Private funds · 8 to 9Feb 23, 2024 to Mar 20, 2024
- Accounts · 900 to 884Jul 20, 2023 to Feb 23, 2024
- Advisory activities · 2 to 3Jul 20, 2023 to Feb 23, 2024
- HNW clients · 78 to 311Jul 20, 2023 to Feb 23, 2024
- Individual clients · 131 to 573Jul 20, 2023 to Feb 23, 2024
- Pooled vehicle clients · 8 to 7Jul 20, 2023 to Feb 23, 2024
- Assets in custody · $0 to $220MJul 20, 2023 to Feb 23, 2024
Signals
4 dated events
- N••••• S•••• V••••• left R•••••• P•••••••• L•• for B••••••• R••••••••• A•••••••• L•• (registered 2024-03-13)May 16, 2023 · Advisor changed firm · fact
- J•••• C••• left R•••••• P•••••••• L•• for P•• A••••••• (registered 2023-09-28)May 8, 2023 · Advisor changed firm · fact
- 2 advisors left F•••••••• W••••• M••••••••• L•• (Draper, UT) for R•••••• P•••••••• L•• on the same dayNov 7, 2022 · Team lift-out · derived
- R•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 2, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 925-261-8330reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/regents-park-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- regentsparkadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (925) 261-8330reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- regentsparkadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $201Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026