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•••• S• C•••••• A•••••••• L••
Latest filing Jun 9, 2026
First filing on the tape May 14, 2026 · 2 filings
SEC status approved since May 15, 2026
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$108M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.6M
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
2 filings and snapshots on the tape
RAUM$119M as of Jun 9, 2026
May 14, 2026$119M then
HNW client RAUM$104M as of Jun 9, 2026
May 14, 2026$104M then
State-registered IARs (5.B.3)3 as of Jun 9, 2026
May 14, 20263 then
Employees (5.A)3 as of Jun 9, 2026
May 14, 20263 then
Private funds: no history
Practice profile
derived from the filing of Jun 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $39.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $362,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.6%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M87%
- Pension and profit-sharing plans$9.0M7.6%
- Individuals$4.6M3.9%
- Corporations and businesses$1.5M1.3%
- Individual clients
- 21reported
- HNW clients
- 76reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 328reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=true bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• S•••••• C••••••Certified Financial Planner | Logan, Ut | Jun 25, 2025 | 11 y | 3 |
| J••••• J••• C•••••••• | Logan, Ut | Aug 12, 2025 | 11 y | 0 |
| J••••• G••••••• M••Certified Financial Planner | Logan, Ut | Mar 30, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••••• G••••••• M•• from A•••• W••••• A•••••••Mar 30, 2026 · RIA to RIA
- R•••• S•••••• C•••••• from A•••• W••••• A•••••••Jun 25, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••••• S•••••• · Managing Member And Chief Compliance Officercontrolsince 12/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Logan, Ut · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- Principal office phone
- 435-752-5558reportedpublic record, Form ADV, Jun 9, 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
- Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $39.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026