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.
SEC-registered adviser
Peterson Rogers Private Wealth, LLC
Latest filing Mar 30, 2026
First filing on the tape Dec 5, 2022 · 14 filings
SEC status approved since May 5, 2023
RAUM
$177M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$152M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$177M as of Mar 30, 2026
Apr 1, 2024$160M then
HNW client RAUM$152M as of Mar 30, 2026
Apr 1, 2024$141M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Apr 1, 20242 then
Employees (5.A)4 as of Mar 30, 2026
Apr 1, 20244 then
Private funds: no history
RAUM +6.8% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $44.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $84.7M, 70 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M86%
- Corporations and businesses$19.1M11%
- Pension and profit-sharing plans$5.7M3.2%
- Individual clients
- n/areported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.7M for 70 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| Benjamin Samuel-Wayne RogersCertified Financial Planner | Salt Lake City, Ut | Feb 1, 2024 | 15 y | 3 |
| M Tom Peterson | Salt Lake City, Ut | Feb 1, 2024 | 44 y | 3 |
| Kade Archibald | Salt Lake City, Ut | Mar 6, 2025 | 13 y | 0 |
| Jace Micheal Bertelsen | Salt Lake City, Ut | Jul 17, 2026 | 12 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
- Todd Donaldson Quinn to Arista Wealth Management, LLCMar 29, 2023 · Other
Joined, latest
- Todd Donaldson Quinn from Axxcess Wealth Management, LLCFeb 27, 2023 · Other
- Benjamin Samuel-Wayne Rogers from Axxcess Wealth Management, LLCFeb 27, 2023 · RIA to a newly registered adviser
- M Tom Peterson from Axxcess Wealth Management, LLCFeb 27, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Axxcess Wealth Management, LLCMay 11, 2023 · Lehi, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M Tom Peterson · Manager/Membercontrolsince 03/2024 · owns 50% to 75%
- Samuel-Wayne Benjamin Rogers · Cco/Manager/Membercontrolsince 03/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · 5 to 6Mar 21, 2025 to Mar 30, 2026
- HNW clients · 82 to 81Mar 21, 2025 to Mar 30, 2026
- Assets in custody · $57.7M to $84.7MMar 21, 2025 to Mar 30, 2026
- Employees · 3 to 4Mar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $161M to $171MMar 21, 2025 to Mar 30, 2026
- HNW RAUM · $145M to $152MMar 21, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.8M to $5.7MMar 21, 2025 to Mar 30, 2026
- Pension RAUM · $4.8M to $5.7MMar 21, 2025 to Mar 30, 2026
- RAUM · $166M to $177MMar 21, 2025 to Mar 30, 2026
- Accounts · 88 to 89Aug 9, 2024 to Mar 21, 2025
- Advisory employees · 4 to 3Aug 9, 2024 to Mar 21, 2025
- Advisory activities · 6 to 5Aug 9, 2024 to Mar 21, 2025
- HNW clients · 81 to 82Aug 9, 2024 to Mar 21, 2025
- Pension plan clients · 2.0 to unsetAug 9, 2024 to Mar 21, 2025
- Assets in custody · $47.5M to $57.7MAug 9, 2024 to Mar 21, 2025
- Employees · 4 to 3Aug 9, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 51-100Aug 9, 2024 to Mar 21, 2025
- State-registered IARs · 2 to 3Aug 9, 2024 to Mar 21, 2025
- Discretionary RAUM · $157M to $161MAug 9, 2024 to Mar 21, 2025
- HNW RAUM · $141M to $145MAug 9, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $3.9M to $4.8MAug 9, 2024 to Mar 21, 2025
- Pension RAUM · $3.9M to $4.8MAug 9, 2024 to Mar 21, 2025
- RAUM · $160M to $166MAug 9, 2024 to Mar 21, 2025
- Related adviser · true to falseAug 9, 2024 to Mar 21, 2025
- Related bank · true to falseAug 9, 2024 to Mar 21, 2025
- Business name · MADDIX HOLDINGS to PETERSON ROGERS PRIVATE WEALTH, LLCJul 5, 2024 to Aug 9, 2024
- Legal name · MADDIX HOLDINGS, LLC to PETERSON ROGERS PRIVATE WEALTH, LLCJul 5, 2024 to Aug 9, 2024
- HQ city · LEHI to SALT LAKE CITYMay 1, 2024 to Jul 5, 2024
- Accounts · 70 to 88Jan 31, 2024 to Apr 1, 2024
- Advisory employees · 6 to 4Jan 31, 2024 to Apr 1, 2024
- Advisory activities · 5 to 6Jan 31, 2024 to Apr 1, 2024
- Corporate clients · 8 to 5Jan 31, 2024 to Apr 1, 2024
- HNW clients · 60 to 81Jan 31, 2024 to Apr 1, 2024
- Assets in custody · $27.0M to $47.5MJan 31, 2024 to Apr 1, 2024
- Employees · 6 to 4Jan 31, 2024 to Apr 1, 2024
- State-registered IARs · 0 to 2Jan 31, 2024 to Apr 1, 2024
- Discretionary RAUM · $113M to $157MJan 31, 2024 to Apr 1, 2024
- HNW RAUM · $105M to $141MJan 31, 2024 to Apr 1, 2024
- Non-discretionary RAUM · $0 to $3.9MJan 31, 2024 to Apr 1, 2024
- Pension RAUM · $3.0M to $3.9MJan 31, 2024 to Apr 1, 2024
Signals
6 dated events
- M Tom Peterson (Manager/Member) appeared on Schedule A of Peterson Rogers Private Wealth, LlcApr 1, 2024 · Control person joined · fact
- Jesse Silva (Manager/Member) no longer on Schedule A of Peterson Rogers Private Wealth, Llc (listed 2024-01-31, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- 2 advisors left Axxcess Wealth Management, LLC (Lehi, UT) for Peterson Rogers Private Wealth, LLC on the same dayMay 11, 2023 · Team lift-out · derived
- Todd Donaldson Quinn left Peterson Rogers Private Wealth, Llc for Arista Wealth Management, Llc (registered 2024-06-20)Mar 29, 2023 · Advisor changed firm · fact
- Samuel-Wayne Benjamin Rogers (Cco/Member) appeared on Schedule A of Peterson Rogers Private Wealth, LlcMar 23, 2023 · Control person joined · fact
- Maddix Holdings filed its initial SEC registration (Form ADV)Dec 5, 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
- 866-847-9454reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/petersonrogersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- petersonrogers.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 8019929783reportedpublic record, Form ADV, Mar 30, 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
- $44.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026