DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• I••••••••• G••••• I•••

CRD 35844

C••••••• SPRINGS, CO

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Search this name across graphsid dfx:ria:8a1edb92-4b45-3df5-f177-fbf96bc4221d

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Feb 10, 2012 to Mar 23, 2026
38 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=0.83 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $420M••• Locked
Discretionary RAUM: $379M
Private client RAUM: $350Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $105Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••• M•••••• B••••	n/a	C••••••• SPRINGS, CO	27	46	n/a	yes
R••••• G••• W•••••	Certified Financial Planner	C••••••• SPRINGS, CO	19	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•• E•••••• C••••••• B•••	Owner	E	yes	03/2020	Mar 26, 2020	Nov 8, 2024
W••• I••••••••• G•••• I••	Owner	E	yes	04/2003	Mar 26, 2020	Nov 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••• C••••••• B•••	n/a	n/a	n/a	Y	yes	n/a

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	0

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	$420M	$378M	11.1%	$269M	16.1%	6	6	0	0

Relationships

Registered with (7)

← F••••• J••• P••••••Advisorregistration: current employment
Nov 13, 2019 to presentfactForm ADV
← T•••••• G• B••••Advisorregistration: current employment
Jun 7, 2018 to presentfactForm ADV
← R••••• G••• W•••••Advisorregistration: current employment
Jan 12, 2007 to presentfactForm ADV
← K•••••• M•••••• B••••

Dated events

Occurred
Apr 12, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 12, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 28, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-107M
Occurred
Mar 26, 2020
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a1edb92-4b45-3df5-f177-fbf96bc4221d
First observed: Feb 10, 2012
Last observed: Mar 23, 2026 6 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.