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
S•••••• W••••• M•••••••••
Legal name R•••• W••••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Feb 13, 2025 · 5 filings
SEC status approved since Feb 10, 2025
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$185M as of May 5, 2026
Feb 13, 2025$0 then
HNW client RAUM$124M as of May 5, 2026
Jun 9, 2025$100M then
State-registered IARs (5.B.3)4 as of May 5, 2026
Feb 13, 20254 then
Employees (5.A)8 as of May 5, 2026
Feb 13, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of May 5, 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
- 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
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $274,797derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$124M67%
- Individuals$60.5M33%
- Individual clients
- 177reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 672reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• O•••• H•••••Chartered Financial Consultant | St. George, Ut | Feb 25, 2025 | 16 y | 2 |
| A•••••• J•••• C•••••••••Certified Financial Planner, Chartered Financial Consultant | St. George, Ut | Feb 25, 2025 | 16 y | 2 |
| J••••• M•••••• L•••••• | St. George, Ut | Feb 25, 2025 | 16 y | 2 |
| C•••••• L••• B•••• | St. George, Ut | Feb 25, 2025 | 17 y | 2 |
| D••••• K•••••• B•••••••• | St. George, Ut | Feb 27, 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
- D•••• O•••• H••••• from T••• F••••••••Feb 25, 2025 · RIA to a newly registered adviser
- A•••••• J•••• C••••••••• from T••• F••••••••Feb 25, 2025 · RIA to a newly registered adviser
- J••••• M•••••• L•••••• from T••• F••••••••Feb 25, 2025 · RIA to a newly registered adviser
- C•••••• L••• B•••• from T••• F••••••••Feb 25, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from T••• F••••••••May 20, 2025 · St George, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• A••••••• J•••• · Founding Partner/Ccocontrolsince 01/2025 · owns less than 5%
- H•••••• D••••• O•••• · Founding Partnercontrolsince 01/2025 · 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 |
|---|---|---|---|---|---|
| St George, Ut | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 600 to 672Jul 23, 2025 to Mar 17, 2026
- HNW clients · 50 to 53Jul 23, 2025 to Mar 17, 2026
- Individual clients · 155 to 177Jul 23, 2025 to Mar 17, 2026
- Employees · 4 to 8Jul 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $145M to $185MJul 23, 2025 to Mar 17, 2026
- HNW RAUM · $100M to $124MJul 23, 2025 to Mar 17, 2026
- Individual RAUM · $45.0M to $60.5MJul 23, 2025 to Mar 17, 2026
- RAUM · $145M to $185MJul 23, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Jun 9, 2025 to Jul 23, 2025
- Accounts · 0 to 600Feb 13, 2025 to Jun 9, 2025
- Charity clients · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- Corporate clients · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- HNW clients · unset to 50.0Feb 13, 2025 to Jun 9, 2025
- Individual clients · unset to 155.0Feb 13, 2025 to Jun 9, 2025
- Pension plan clients · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- Pooled vehicle clients · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- Discretionary RAUM · $0 to $145MFeb 13, 2025 to Jun 9, 2025
- HNW RAUM · unset to 100000000.0Feb 13, 2025 to Jun 9, 2025
- Individual RAUM · unset to 45000000.0Feb 13, 2025 to Jun 9, 2025
- Pension RAUM · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 13, 2025 to Jun 9, 2025
- RAUM · $0 to $145MFeb 13, 2025 to Jun 9, 2025
Signals
1 dated events
- 4 advisors left T••• F•••••••• (ST George, UT) for S•••••• W••••• M••••••••• on the same dayMay 20, 2025 · Team lift-out · derived
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 email
- advisors@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 435-673-6350reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- staterawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 435-673-6350reportedpublic record, Form ADV, May 5, 2026
- Contact form
- staterawealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- staterawealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026