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

Y••• I•• L••

Independent wealth managerSt. George, UtahCRD 338535SEC 801-134511websiteIAPD
Latest filing Aug 11, 2026
First filing on the tape Nov 21, 2025 · 6 filings
SEC status approved since Nov 18, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$104M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$3.8M
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$107M as of Aug 11, 2026
Nov 21, 2025$0 then
HNW client RAUM$74.4M as of Aug 11, 2026
Mar 20, 2026$74.4M then
State-registered IARs (5.B.3)16 as of Aug 11, 2026
Nov 21, 20253 then
Employees (5.A)19 as of Aug 11, 2026
Nov 21, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 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
RAUM per advisor
$3.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.4MderivedHNW RAUM over HNW clients
Average account
$392,034derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
1.4derived20 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$74.4M70%
  • Individuals$29.1M27%
  • Corporations and businesses$3.1M2.9%
Individual clients
178reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
272reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••• S•••• H••••St. George, Ut Nov 19, 202521 y0
C••••••••• L•• F•••••Palm Beach Gardens, Fl Nov 24, 202527 y4
C•••• J••••• H••••St. George, UtNov 24, 202512 y2
J•••• L•••• W••••••St. George, Ut Dec 4, 202521 y4
C••• M•••••• T••••St. George, Ut Dec 11, 202518 y2
V••••••• S••••• C••••••St. George, Ut Jan 12, 202643 y2
G•••••• S••••• A••••Kaysville, Ut Jan 14, 202610 y1
G••••• G•••••St. George, Ut Jan 24, 202613 y2
J•••••• M• G•••••••Kaysville, Ut Jan 30, 202621 y5
K••• C•••••• S••••••••St. George, Ut Feb 2, 202610 y0
K•••• F• R•••••••Evansville, In Feb 18, 202619 y4
G••• R• F•••••••St. G•••••, Ut Mar 17, 202632 y1
L•• T•••• G••••St. George, Ut Mar 17, 202613 y1
W•••••• C•••••• R•••••••St. George, Ut Mar 20, 202646 y4
D••••• C•••••• K•••••••St. George, Ut Apr 6, 202639 y3
K••• D•••• H••••••••St. George, Ut Apr 9, 202610 y0
A••• C•••Dedham, Ma Apr 10, 202616 y1
W•••••• C•••••• B•••••••St. George, Ut Apr 23, 202638 y2
K•••••• D••Wellesley, Ma May 1, 202649 y8
D•••••• C•••Westwood, Ma May 1, 202613 y1
J•••• R••••• D••St. George, Ut May 28, 202617 y0
R•••••• P••• S•••••St. George, Ut Jun 4, 202622 y2
T•••• J• B•••••Santaquin, Ut Jun 29, 202610 y0
J••••• C••••• E••••Centerville, Oh Aug 3, 202615 y3
C•••••• S••••St. George, Ut Aug 12, 202612 y1
G•••• M•••••• D••St. George, Ut Aug 17, 202616 y0
S•••• N• T•••••St. George, Ut Sep 11, 202610 y0
Advisor movement
1 left, 20 joined in 12 months
net +19 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 3.6% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• G••••••• S••••• · Chief Of Staffcontrol
      since 01/2026 · owns less than 5%
    • H••••• C••••• J••••• · Chief Operating Officercontrol
      since 10/2025 · owns less than 5%
    • S•••••• B••••• J•• · Presidentcontrol
      since 01/2026 · owns less than 5%
    • T•••••• T•••••• M••••• · Chief Compliance Officer
      since 03/2026 · owns less than 5%
    Entity owners
    • A•••••••• O••••• G••••• I••• · Member, Owner
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    St George, Ut28280
    Highland, Ut220
    Kaysville, Ut220
    Wellesley, Ma220
    Franklin, Tn001
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 6 to 19
      Apr 22, 2026 to Jul 30, 2026
    • Other offices · 0 to 6
      Mar 20, 2026 to Apr 22, 2026
    • Accounts · 0 to 272
      Feb 20, 2026 to Mar 20, 2026
    • Advisory employees · 3 to 15
      Feb 20, 2026 to Mar 20, 2026
    • Corporate clients · unset to 2.0
      Feb 20, 2026 to Mar 20, 2026
    • HNW clients · unset to 10.0
      Feb 20, 2026 to Mar 20, 2026
    • Individual clients · unset to 178.0
      Feb 20, 2026 to Mar 20, 2026
    • Employees · 5 to 19
      Feb 20, 2026 to Mar 20, 2026
    • State-registered IARs · 3 to 16
      Feb 20, 2026 to Mar 20, 2026
    • Discretionary RAUM · $0 to $107M
      Feb 20, 2026 to Mar 20, 2026
    • HNW RAUM · unset to 74428656.0
      Feb 20, 2026 to Mar 20, 2026
    • Individual RAUM · unset to 29086299.0
      Feb 20, 2026 to Mar 20, 2026
    • RAUM · $0 to $107M
      Feb 20, 2026 to Mar 20, 2026
    Signals
    5 dated events
    • Y••• I•• L•• reported 19 offices beyond its principal office, up from 6 (2026-04-22 to 2026-07-30)
      Jul 30, 2026 · Office count change · derived
    • Y••• I•• L•• reported 6 offices beyond its principal office, up from 0 (2026-03-20 to 2026-04-22)
      Apr 22, 2026 · Office count change · derived
    • P••••• J• R•••• left Y••• I•• L•• for B••••••••• W••••• A•••••••• L•• (registered 2026-04-13)
      Apr 6, 2026 · Advisor changed firm · fact
    • 2 advisors left T••••••••• F•••••••• A•••••••• L•• (Braintree, MA) for Y••• I•• L•• within 2 days
      Mar 24, 2026 · Team lift-out · derived
    • Y••• I•• L•• reported 16 state-registered advisory representatives, up from 3 (2026-02-20 to 2026-03-20)
      Mar 20, 2026 · Advisor headcount change · 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
    Website
    y•••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    800-823-0489reportedpublic record, Form ADV, Aug 11, 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
    $3.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026