DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A• • I• W••••• M•••••••••

A & I FINANCIAL SERVICES, LLC, CRD 148357

LONE TREE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:80428829-b7f7-29a9-2c87-f977b51efa52

Data as of Apr 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 5
On other graphs: 0
Observed: Dec 16, 2011 to Apr 8, 2026
45 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=9.0
Regulatory AUM: $560M••• Locked
Discretionary RAUM: $506M
Private client RAUM: $556Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $56.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• C•••••• M•••••	n/a	LONE TREE, CO	17	21	1	yes
S••••• K•••••• F••••	n/a	LONE TREE, CO	17	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• • I• H•••••••• L••	Member	E	yes	01/2018	May 25, 2018	Sep 13, 2024
F••••• K•••• F•••••••	Member	D	yes	01/2018	Dec 16, 2011	Sep 13, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$560M	$464M	20.7%	$368M	15.1%	9	9	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• F•••••••• G••••• I•••	2	Jun 13, 2017	May 19, 2017	GREENWOOD VILLAGE, CO	Team lift out	Other	16.7%

Relationships

Registered with (21)

← C•••••• J• B•••••Advisorregistration: current employment
Feb 14, 2025 to presentfactForm ADV
← C••• M•••••• H•••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← D•••• L•• S••••••Advisorregistration: current employment
Jan 22, 2019 to presentfactForm ADV
← P•••• F••••••• L••••••••

Dated events

Occurred
Sep 13, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 12, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 11, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80428829-b7f7-29a9-2c87-f977b51efa52
First observed: Dec 16, 2011
Last observed: Apr 8, 2026 5 months 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.