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
L•••• W•••••• L••
Latest filing Aug 31, 2026
First filing on the tape Aug 4, 2025 · 6 filings
SEC status approved since Aug 20, 2025
RAUM
$335M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$335M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$335M as of Aug 31, 2026
Aug 4, 2025$0 then
HNW client RAUM$306M as of Aug 31, 2026
Dec 23, 2025$289M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Aug 4, 20252 then
Employees (5.A)3 as of Aug 31, 2026
Aug 4, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 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
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $649,370derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $139M, 72 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$306M91%
- Individuals$29.4M8.8%
- Individual clients
- 72reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 516reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 72 clientsreported
- Compensation
- % of AUM, fixed, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• L•••••• S••••Certified Financial Planner | Spanish Fork, Ut | Aug 20, 2025 | 11 y | 2 |
| W•••• G••••• L•••••••••Certified Financial Planner | Spanish Fork, Ut | Aug 20, 2025 | 12 y | 1 |
| Q•••••• H••••• | Spanish Fork, Ut | Apr 29, 2026 | 13 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
- H•••• L•••••• S•••• from B••• B••• W•••••Aug 20, 2025 · RIA to a newly registered adviser
- W•••• G••••• L••••••••• from B••• B••• W•••••Aug 20, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••• B••• W•••••Feb 17, 2026 · Orem, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• H••••• L•••••• · Chief Compliance Officercontrolsince 07/2025 · 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 |
|---|---|---|---|---|---|
| Spanish Fork, Ut · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 500 to 516Jul 10, 2026 to Aug 31, 2026
- HNW clients · 65 to 66Jul 10, 2026 to Aug 31, 2026
- Individual clients · 69 to 72Jul 10, 2026 to Aug 31, 2026
- Discretionary RAUM · $330M to $334MJul 10, 2026 to Aug 31, 2026
- HNW RAUM · $302M to $306MJul 10, 2026 to Aug 31, 2026
- Individual RAUM · $28.7M to $29.4MJul 10, 2026 to Aug 31, 2026
- Non-discretionary RAUM · $716,072 to $736,964Jul 10, 2026 to Aug 31, 2026
- RAUM · $331M to $335MJul 10, 2026 to Aug 31, 2026
- Accounts · 485 to 500Apr 28, 2026 to Jul 10, 2026
- HNW clients · 64 to 65Apr 28, 2026 to Jul 10, 2026
- Individual clients · 65 to 69Apr 28, 2026 to Jul 10, 2026
- Assets in custody · $137M to $139MApr 28, 2026 to Jul 10, 2026
- Discretionary RAUM · $322M to $330MApr 28, 2026 to Jul 10, 2026
- HNW RAUM · $295M to $302MApr 28, 2026 to Jul 10, 2026
- Individual RAUM · $27.1M to $28.7MApr 28, 2026 to Jul 10, 2026
- Non-discretionary RAUM · $669,388 to $716,072Apr 28, 2026 to Jul 10, 2026
- RAUM · $322M to $331MApr 28, 2026 to Jul 10, 2026
- Advisory employees · 2 to 3Feb 16, 2026 to Apr 28, 2026
- Employees · 2 to 3Feb 16, 2026 to Apr 28, 2026
- Insurance-licensed employees · 2 to 0Feb 16, 2026 to Apr 28, 2026
- State-registered IARs · 2 to 3Feb 16, 2026 to Apr 28, 2026
- Accounts · 473 to 485Dec 23, 2025 to Feb 16, 2026
- HNW clients · 63 to 64Dec 23, 2025 to Feb 16, 2026
- Individual clients · 62 to 65Dec 23, 2025 to Feb 16, 2026
- Assets in custody · unset to 136550301.0Dec 23, 2025 to Feb 16, 2026
- Custody of client assets · false to trueDec 23, 2025 to Feb 16, 2026
- Financial planning clients · 0 to 101-250Dec 23, 2025 to Feb 16, 2026
- HQ city · to SPANISH FORKDec 23, 2025 to Feb 16, 2026
- HQ state · to UTDec 23, 2025 to Feb 16, 2026
- Other offices · 1 to 2Dec 23, 2025 to Feb 16, 2026
- Discretionary RAUM · $313M to $322MDec 23, 2025 to Feb 16, 2026
- HNW RAUM · $289M to $295MDec 23, 2025 to Feb 16, 2026
- Individual RAUM · $25.0M to $27.1MDec 23, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $627,880 to $669,388Dec 23, 2025 to Feb 16, 2026
- RAUM · $314M to $322MDec 23, 2025 to Feb 16, 2026
- Accounts · 0 to 473Aug 4, 2025 to Dec 23, 2025
- HNW clients · unset to 63.0Aug 4, 2025 to Dec 23, 2025
- Individual clients · unset to 62.0Aug 4, 2025 to Dec 23, 2025
- Discretionary RAUM · $0 to $313MAug 4, 2025 to Dec 23, 2025
- HNW RAUM · unset to 289043218.0Aug 4, 2025 to Dec 23, 2025
Signals
1 dated events
- 2 advisors left B••• B••• W••••• (Orem, UT) for L•••• W•••••• L•• on the same dayFeb 17, 2026 · 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
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 801-893-8320reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-893-8320reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- l•••••••••.comreportedpublished 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026