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 S••••••• W••••• M••••••••• I• L••
Latest filing Jun 2, 2026
First filing on the tape Mar 26, 2026 · 2 filings
SEC status approved since Mar 2, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$9.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$108M as of Jun 2, 2026
Mar 26, 2026$94.7M then
HNW client RAUM$56.2M as of Jun 2, 2026
Mar 26, 2026$50.8M then
State-registered IARs (5.B.3)5 as of Jun 2, 2026
Mar 26, 20265 then
Employees (5.A)5 as of Jun 2, 2026
Mar 26, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 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
- $9.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $135,073derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 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 individuals, pension consulting, 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$56.2M52%
- Individuals$51.3M48%
- Individual clients
- 388reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 796reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J• G•••• | Pleasant Grove, Ut | Mar 3, 2026 | 11 y | 0 |
| C••••••••• J•••• A••••••• | Pleasant Grove, Ut | Mar 3, 2026 | 21 y | 2 |
| J•••• M••••• M••••• | Pleasant Grove, Ut | Mar 3, 2026 | 10 y | 2 |
| C••••• C•• B•••• | Pleasant Grove, Ut | Mar 3, 2026 | 11 y | 0 |
| G•••••• C••• M•••••••• | Amarillo, Tx | Mar 3, 2026 | 20 y | 4 |
| A••••• S•••• B••••••••• | Pleasant Grove, Ut | Mar 3, 2026 | 16 y | 1 |
| M••••••• H••••• C•••••••• | Pleasant Grove, Ut | Mar 23, 2026 | 19 y | 4 |
| G•••••• G• N•••••Chartered Financial Consultant | Hurricane, Ut | Apr 10, 2026 | 34 y | 3 |
| D•••• A•••• S••••••• | Pleasant Grove, Ut | Jul 8, 2026 | 10 y | 0 |
| J••••••• E••• D••••••••Certified Financial Planner | North Logan, Ut | Aug 4, 2026 | 11 y | 2 |
Advisor movement
0 left, 7 joined in 12 months
net +7 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••••• E••• D•••••••• from L•• F•••••••• L••Aug 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• G• N••••• from S•• I••••••••• A•••••••• I•••Apr 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••••••• H••••• C•••••••• from H•••••• T••••••• • K•••• L••Mar 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J•••• A••••••• from C•••••• A•••••••Mar 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• C••• M•••••••• from S•• I••••••••• L••Mar 3, 2026 · Other
- A••••• S•••• B••••••••• from E••••• J••••Mar 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• M••••• M••••• from S•• I••••••••• L••Mar 3, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•• I••••••••• L••Mar 2, 2026 · Pleasant Grove, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• C••••••••• J•••• · Ownercontrolsince 01/2026 · owns 50% to 75%
- M•••••• J••••• M••••• · President, Chief Compliance Officer, Ownercontrolsince 01/2026 · 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 |
|---|---|---|---|---|---|
| Pleasant Grove, Ut · principal | 10 | 10 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 772 to 796Mar 26, 2026 to Jun 2, 2026
- HNW clients · 20 to 22Mar 26, 2026 to Jun 2, 2026
- Individual clients · 373 to 388Mar 26, 2026 to Jun 2, 2026
- Discretionary RAUM · $94.7M to $108MMar 26, 2026 to Jun 2, 2026
- HNW RAUM · $50.8M to $56.2MMar 26, 2026 to Jun 2, 2026
- Individual RAUM · $43.9M to $51.3MMar 26, 2026 to Jun 2, 2026
- RAUM · $94.7M to $108MMar 26, 2026 to Jun 2, 2026
Signals
1 dated events
- 2 advisors left S•• I••••••••• L•• (Pleasant Grove, UT) for S••••••• W••••• M••••••••• on the same dayMar 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
- 801-571-9900reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/unity-wealth-collective-wealth-managemereportedpublic record, Form ADV, Sep 18, 2026
- Website
- soulencewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-571-9900reportedpublic record, Form ADV, Jun 2, 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
- $9.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026