DFX Intelligence

F••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

F••••• C•••••• M••••••••• I•••

F••••• C•••••• M••••••••• INCORPORATED, CRD 324378

CASTLE ROCK, CO

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Search this name across graphsid dfx:ria:2f38c93f-6844-76d5-f824-8e9122a36d53

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 20, 2026 to Aug 20, 2026
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $78.6M••• Locked
Discretionary RAUM: $72.6M
Private client RAUM: $72.2Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Employees: 11
Advisory employees: 7

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• L•••• K•••••	n/a	CASTLE ROCK, CO	3	18	4	no
C•••• W•••••• B•••••	n/a	CASTLE ROCK, CO	3	15

Relationships

Registered with (7)

← J••••• R••• B•••••Advisorregistration: current employment
Apr 28, 2025 to presentfactForm ADV
← D•••• R••• J•••••Advisorregistration: current employment
Jan 16, 2025 to presentfactForm ADV
← D•••• M•••• D••••••Advisorregistration: current employment
Jan 8, 2025 to presentfactForm ADV
← T••••• L••• J••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f38c93f-6844-76d5-f824-8e9122a36d53
First observed: Aug 20, 2026
Last observed: Aug 20, 2026 33 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.