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
N••••••• F•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape May 1, 2023 · 8 filings
SEC status approved since Jun 1, 2023
RAUM
$338M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
15%
$50.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$338M as of Jan 30, 2026
Mar 15, 2024$267M then
HNW client RAUM$9.5M as of Jan 30, 2026
Mar 15, 2024$5.1M then
State-registered IARs (5.B.3)3 as of Jan 30, 2026
Mar 15, 20241 then
Employees (5.A)3 as of Jan 30, 2026
Mar 15, 20242 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 24%derivedof RAUM
- Institutional
- 85%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$287M85%
- Individuals$40.5M12%
- High-net-worth individuals$9.5M2.8%
- Corporations and businesses$1.4M0.4%
- Individual clients
- 115reported
- HNW clients
- 6reported
- Pension plan clients
- 38reported
- Charitable clients
- n/areported
- Accounts
- 278reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.15 fund_share=0.0 institutional_share=0.85 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• W••• D••••• | Salt Lake City, Ut | Jun 1, 2023 | 24 y | 3 |
| D••••• M••••• B•••••• | Salt Lake City, Ut | Nov 25, 2024 | 10 y | 0 |
| M•••••• J••• P••••••• | Salt Lake City, Ut | Jun 24, 2026 | 10 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
- B••••••• W••• D••••• from W•••• F•••• A•••••••Jun 1, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• B•••••••• W••• · Member & Chief Compliance Officercontrolsince 06/2023 · owns 50% to 75%
- S••••• T•••••• · Membercontrolsince 06/2023 · owns 50% to 75%
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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 237 to 278Feb 18, 2025 to Jan 30, 2026
- Advisory employees · 2 to 3Feb 18, 2025 to Jan 30, 2026
- HNW clients · 10 to 6Feb 18, 2025 to Jan 30, 2026
- Individual clients · 98 to 115Feb 18, 2025 to Jan 30, 2026
- Pension plan clients · 47 to 38Feb 18, 2025 to Jan 30, 2026
- Employees · 2 to 3Feb 18, 2025 to Jan 30, 2026
- State-registered IARs · 2 to 3Feb 18, 2025 to Jan 30, 2026
- Discretionary RAUM · $69.5M to $79.6MFeb 18, 2025 to Jan 30, 2026
- HNW RAUM · $15.4M to $9.5MFeb 18, 2025 to Jan 30, 2026
- Individual RAUM · $25.6M to $40.5MFeb 18, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $231M to $258MFeb 18, 2025 to Jan 30, 2026
- Pension RAUM · $258M to $287MFeb 18, 2025 to Jan 30, 2026
- RAUM · $300M to $338MFeb 18, 2025 to Jan 30, 2026
- Accounts · 135 to 237Sep 4, 2024 to Feb 18, 2025
- Advisory employees · 1 to 2Sep 4, 2024 to Feb 18, 2025
- HNW clients · 4 to 10Sep 4, 2024 to Feb 18, 2025
- Individual clients · 78 to 98Sep 4, 2024 to Feb 18, 2025
- Pension plan clients · 51 to 47Sep 4, 2024 to Feb 18, 2025
- Financial planning clients · 51-100 to 101-250Sep 4, 2024 to Feb 18, 2025
- State-registered IARs · 1 to 2Sep 4, 2024 to Feb 18, 2025
- Discretionary RAUM · $50.2M to $69.5MSep 4, 2024 to Feb 18, 2025
- HNW RAUM · $7.1M to $15.4MSep 4, 2024 to Feb 18, 2025
- Individual RAUM · $24.0M to $25.6MSep 4, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $218M to $231MSep 4, 2024 to Feb 18, 2025
- Pension RAUM · $236M to $258MSep 4, 2024 to Feb 18, 2025
- RAUM · $268M to $300MSep 4, 2024 to Feb 18, 2025
- Corporate clients · unset to 2.0Mar 15, 2024 to Sep 4, 2024
- Discretionary RAUM · $56.4M to $50.2MMar 15, 2024 to Sep 4, 2024
- HNW RAUM · $5.1M to $7.1MMar 15, 2024 to Sep 4, 2024
- Individual RAUM · $26.2M to $24.0MMar 15, 2024 to Sep 4, 2024
- Non-discretionary RAUM · $211M to $218MMar 15, 2024 to Sep 4, 2024
- Pension RAUM · $235M to $236MMar 15, 2024 to Sep 4, 2024
- RAUM · $267M to $268MMar 15, 2024 to Sep 4, 2024
- Succession · true to falseMar 15, 2024 to Sep 4, 2024
- Accounts · 137 to 135Jul 27, 2023 to Mar 15, 2024
- Advisory activities · 4 to 5Jul 27, 2023 to Mar 15, 2024
- Corporate clients · 3.0 to unsetJul 27, 2023 to Mar 15, 2024
- HNW clients · 6 to 4Jul 27, 2023 to Mar 15, 2024
- Individual clients · 76 to 78Jul 27, 2023 to Mar 15, 2024
- Pension plan clients · 52 to 51Jul 27, 2023 to Mar 15, 2024
Signals
4 dated events
- N••••••• F•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 15, 2024 · Succession (Item 4) · fact
- Tiffany Smith (Managing Member) appeared on Schedule A of N••••••• F•••••••• L••Jun 1, 2023 · Control person joined · fact
- West Benjamin Driggs (Chief Compliance Officer) appeared on Schedule A of N••••••• F•••••••• L••Jun 1, 2023 · Control person joined · fact
- N••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)May 1, 2023 · 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
- Website
- navigatefinancial.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 801-905-1644reportedpublic record, Form ADV, Jan 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026