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
T••••• W••••• M••••••••• L••
Latest filing Aug 10, 2026
First filing on the tape Mar 9, 2026 · 3 filings
SEC status approved since Mar 12, 2026
RAUM
$1.1B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
82%
$896M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
15
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.1B as of Aug 10, 2026
Mar 9, 2026$0 then
HNW client RAUM$806M as of Aug 10, 2026
Jul 13, 2026$806M then
State-registered IARs (5.B.3)5 as of Aug 10, 2026
Mar 9, 20265 then
Employees (5.A)15 as of Aug 10, 2026
Mar 9, 202615 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 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
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $418,534derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 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, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$806M74%
- Corporations and businesses$184M17%
- Individuals$90.8M8.3%
- Insurance companies$13.0M1.2%
- Individual clients
- 252reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,612reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• K••••• A•••••Certified Financial Planner | Lehi, Ut | Apr 9, 2026 | 10 y | 2 |
| R•••• Z•••••• L•••Certified Financial Planner | Lehi, Ut | Apr 13, 2026 | 16 y | 3 |
| A••• P•••••• G•••••Certified Financial Planner | Lehi, Ut | Apr 14, 2026 | 14 y | 3 |
| T•••• M••• T•••••••Certified Financial Planner | Lehi, Ut | Apr 14, 2026 | 15 y | 1 |
| M•••• G• M•••• | Lehi, Ut | Apr 14, 2026 | 13 y | 3 |
| J•••• B•••• B••••••••Certified Financial Planner | St. Augustine, Fl | Apr 14, 2026 | 32 y | 7 |
| D•••• B•••• J••••• | Lehi, Ut | Sep 8, 2026 | 10 y | 0 |
Advisor movement
0 left, 6 joined in 12 months
net +6 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
- M•••• G• M•••• from A••••• A•••••••Apr 14, 2026 · RIA to a newly registered adviser
- J•••• B•••• B•••••••• from A••••• A•••••••Apr 14, 2026 · RIA to a newly registered adviser
- T•••• M••• T••••••• from A••••• A•••••••Apr 14, 2026 · RIA to a newly registered adviser
- A••• P•••••• G••••• from A••••• A•••••••Apr 14, 2026 · RIA to a newly registered adviser
- R•••• Z•••••• L••• from A••••• A•••••••Apr 13, 2026 · RIA to a newly registered adviser
- B•••• K••••• A••••• from F••••••Apr 9, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A••••• A•••••••Apr 2, 2026 · Logan, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••• B•••• · Founding Partnercontrolsince 04/2026 · owns less than 5%
- G••••••• W•••••• J••••• · Presidentcontrolsince 04/2026 · owns less than 5%
- L•••• R••••• Z•••••• · Founding Partner, Ceocontrolsince 04/2026 · owns less than 5%
- P•••• P••••• G•• · Chief Compliance Officercontrolsince 04/2026 · owns less than 5%
Entity owners
- J••• F•••••• L•• · Ownerdirect · owns 50% to 75%
- L• I••••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Lehi, Ut · principal | 7 | 7 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 2Jul 13, 2026 to Aug 10, 2026
- Accounts · 0 to 2,612Mar 9, 2026 to Jul 13, 2026
- Corporate clients · unset to 23.0Mar 9, 2026 to Jul 13, 2026
- HNW clients · unset to 114.0Mar 9, 2026 to Jul 13, 2026
- Individual clients · unset to 252.0Mar 9, 2026 to Jul 13, 2026
- Discretionary RAUM · $0 to $494MMar 9, 2026 to Jul 13, 2026
- HNW RAUM · unset to 805602670.0Mar 9, 2026 to Jul 13, 2026
- Individual RAUM · unset to 90784165.0Mar 9, 2026 to Jul 13, 2026
- Non-discretionary RAUM · $0 to $599MMar 9, 2026 to Jul 13, 2026
- RAUM · $0 to $1.1BMar 9, 2026 to Jul 13, 2026
Signals
2 dated events
- M•••• G• M•••• added a TX registration at T••••• W••••• M••••••••• L••Sep 14, 2026 · New state registration · fact
- 4 advisors left A••••• A••••••• (Logan, UT) for T••••• W••••• M••••••••• L•• within 6 daysApr 2, 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 phone
- 385-746-8388reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-653-0564reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-653-0564reportedpublic record, Form ADV, Aug 10, 2026
- Team page
- tanarawm.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026