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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C••••••• F•••••••• S•••••• C•••••••••
Latest filing Aug 6, 2013
First filing on the tape May 17, 2012 · 16 filings
RAUM
$6.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$400,000
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$6.0M as of Aug 6, 2013
May 17, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Aug 6, 2013
Nov 2, 20120 then
Employees (5.A)11 as of Aug 6, 2013
Nov 2, 201260 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 6, 2013; every figure names its basis
- RAUM per advisor
- $400,000derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $200,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 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, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•• A•••••••• | Centennial, Co | Jul 10, 2012 | 30 y | 2 |
| C•••••• J••••• H••••• | Centennial, Co | May 30, 2013 | 39 y | 0 |
| M•••••• D•••• D•••••••• | Centennial, Co | May 24, 2016 | 17 y | 1 |
| N••• J•••• H•••••• | Centennial, Co | Feb 21, 2017 | 27 y | 2 |
| D•••• W•••••• T•••••• | Lakewood, Co | Apr 24, 2017 | 13 y | 0 |
| W•••••• D•• G••••• | La Jolla, Ca | May 18, 2017 | 37 y | 4 |
| R••••• W•••• S••••Certified Financial Planner | Centennial, Co | Jan 3, 2018 | 40 y | 0 |
| J••• W•••••• C••••• | Las Vegas, Nv | Apr 13, 2018 | 41 y | 1 |
| D••••••• L••• M•••••••• | San Rafael, Ca | May 3, 2018 | 12 y | 0 |
| S••••• B•••• S•••••• | Livingston, Nj | Jul 13, 2018 | 23 y | 1 |
| C•••••••• C••••••• N•••••• | Denver, Co | Mar 5, 2020 | 19 y | 1 |
| T••••• R• T••••••Certified Financial Planner | Centennial, Co | Sep 7, 2023 | 31 y | 3 |
| J••• C••••••• G••••• | Centennial, Co | Mar 10, 2025 | 19 y | 2 |
| A••• J•••• W•••••••• | Centennial, Co | Apr 2, 2025 | 12 y | 1 |
| R••••• B•••• | Misson Viejo, Ca | Aug 29, 2025 | 29 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.7% of current headcount4 left over 36 months
Left, latest
- M••••• L•• V••••• to A••••• A•• P••••••• S•••••••Jun 8, 2026 · Other
- E•••• E••••••••• L•••• to T•• A•••••••• I•••Jan 16, 2025 · Other
- T•••• J••• H••••••• to G••••• V••• C•••••• M••••••••• L••Jun 17, 2024 · Other
- B••••••• W••• B••••• to A••••• A•• P••••••• S•••••••Oct 18, 2023 · Other
- R•••• L••••• C•••••• to P••• A••••• S••••••••• L••Jul 1, 2022 · Other
- C•••••••• G•• H•• to M••••••• C•••••• A•••• M••••••••• L••Apr 4, 2022 · Other
- M••• V•••••• P••••••• to I••••••••• A••••• I••••••••• M••••••••• L••Dec 31, 2021 · Other
- M•••••• L• H••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 13, 2021 · Other
- B•••• J••••• P•••••• to C•• F•••••••• G••••• L••Oct 8, 2020 · Other
- J•••• D• M•••••••• to S•••••••• F••••••••• I•••Sep 2, 2020 · Other
- R••• D•••• F•••• to E•••••• E••••• L••Apr 22, 2020 · Other
- T•••• D••••• D••••• to T••• I••••••••• A•••••••• L••Jun 20, 2016 · Other
- K•••• H• K•• to C••••• I••••••••• A••••••• L••Jun 4, 2015 · Other
- A•••••• D• A••••• to Q•••••• A•••• M••••••••• I•••Apr 14, 2014 · Other
- P••••••• E••••• V•••• to Q•••••• A•••• M••••••••• I•••Apr 14, 2014 · Other
Joined, latest
- R••••• B•••• from S••••••••• I•••••••••Aug 29, 2025 · Other
- M••••• L•• V••••• from A••••• A•• P••••••• S•••••••Jul 7, 2025 · Other
- A••• J•••• W•••••••• from A••••• A•• P••••••• S•••••••Apr 2, 2025 · Other
- J••• C••••••• G••••• from E•••••• E••••• L••Mar 10, 2025 · Other
- T••••• R• T•••••• from L•••••••• F•••••• A••••••• G••••• L••Sep 7, 2023 · Other
- T•••• J••• H••••••• from G••••••••• W••••• P••••••• L••Sep 6, 2023 · Other
- B••••••• W••• B••••• from A••••• A•• P••••••• S•••••••Mar 31, 2023 · Other
- R•••• L••••• C•••••• from G•• S••••••••• I•••May 17, 2021 · Other
- M•••••• L• H••• from L•• F•••••••• L••Mar 3, 2021 · Other
- M••• V•••••• P••••••• from E•••••• E••••• L••Aug 18, 2020 · Other
- J•••• D• M•••••••• from S•••••••• F••••••••• I•••Apr 16, 2020 · Other
- E•••• E••••••••• L•••• from R•• W••••• M••••••••• L••Nov 4, 2019 · Other
- S••••• B•••• S•••••• from C••••• • A••••••••• I•••Jul 13, 2018 · Other
- R••• D•••• F•••• from C•••• W•••••Feb 12, 2018 · Other
- W•••••• D•• G••••• from S••••• B•••••• F••••••••• I•••May 18, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••• A•• P••••••• S•••••••Mar 7, 2025 · Englewood, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C•••••• J••••• · Chairman & Chief Executive Officercontrolsince 03/2013 · owns less than 5%
- L•••• K••• J•••••• · President, Chief Operating Officercontrolsince 03/2013 · owns less than 5%
- H•••••• C•••••• J••••• · Ownercontrolsince 03/2006 · owns 75% or more of T•• D••••••••• C•••.
- K••• K•••• · Chief Compliance Officer & Director Risk Managementsince 07/2012 · owns less than 5%
Entity owners
- T•• D••••••••• C••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Centennial, Co · principal | 15 | 0 | 1 | ||
| Denver, Co | 3 | 0 | 0 | ||
| Beachwood, Oh | 0 | 0 | 0 | ||
| Plano, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 12 to 11Jun 25, 2013 to Jul 26, 2013
- Employees · 12 to 11Jun 25, 2013 to Jul 26, 2013
- State-registered IARs · 12 to 11Jun 25, 2013 to Jul 26, 2013
- Related broker-dealer · false to trueJun 25, 2013 to Jul 26, 2013
- Advisory employees · 10 to 8Apr 15, 2013 to Jun 25, 2013
- BD registered reps · 18 to 12Apr 15, 2013 to Jun 25, 2013
- Employees · 20 to 12Apr 15, 2013 to Jun 25, 2013
- State-registered IARs · 14 to 12Apr 15, 2013 to Jun 25, 2013
- Advisory employees · 14 to 10Mar 25, 2013 to Apr 15, 2013
- State-registered IARs · 0 to 14Feb 7, 2013 to Mar 19, 2013
- Accounts · 0 to 30Nov 2, 2012 to Jan 16, 2013
- Advisory employees · 1 to 14Nov 2, 2012 to Jan 16, 2013
- BD registered reps · 60 to 18Nov 2, 2012 to Jan 16, 2013
- Employees · 60 to 20Nov 2, 2012 to Jan 16, 2013
- Insurance-licensed employees · 3 to 0Nov 2, 2012 to Jan 16, 2013
- Non-discretionary RAUM · $0 to $6.0MNov 2, 2012 to Jan 16, 2013
- RAUM · $0 to $6.0MNov 2, 2012 to Jan 16, 2013
- Advisory employees · unset to 1.0Aug 21, 2012 to Nov 2, 2012
- BD registered reps · unset to 60.0Aug 21, 2012 to Nov 2, 2012
- Employees · unset to 60.0Aug 21, 2012 to Nov 2, 2012
- State-registered IARs · unset to 0.0Aug 21, 2012 to Nov 2, 2012
Signals
7 dated events
- M••••• L•• V••••• left C••••••• F•••••••• S•••••• C••••••••• for A••••• A•• P••••••• S••••••• (registered 2026-08-12)Jun 8, 2026 · Advisor changed firm · fact
- 2 advisors left A••••• A•• P••••••• S••••••• (Englewood, CO) for C••••••• F•••••••• S•••••• C••••••••• on the same dayMar 7, 2025 · Team lift-out · derived
- E•••• E••••••••• L•••• left C••••••• F•••••••• S•••••• C••••••••• for T•• A•••••••• I••• (registered 2025-09-08)Jan 16, 2025 · Advisor changed firm · fact
- T•••• J••• H••••••• left C••••••• F•••••••• S•••••• C••••••••• for G••••• V••• C•••••• M••••••••• L•• (registered 2025-02-12)Jun 17, 2024 · Advisor changed firm · fact
- B••••••• W••• B••••• left C••••••• F•••••••• S•••••• C••••••••• for A••••• A•• P••••••• S••••••• (registered 2023-11-24)Oct 18, 2023 · Advisor changed firm · fact
- R•••• L••••• C•••••• left C••••••• F•••••••• S•••••• C••••••••• for P••• A••••• S••••••••• L•• (registered 2022-11-07)Jul 1, 2022 · Advisor changed firm · fact
- C•••••••• G•• H•• left C••••••• F•••••••• S•••••• C••••••••• for M••••••• C•••••• A•••• M••••••••• L•• (registered 2022-11-10)Apr 4, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- C••••••• Financial S•••••• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/turning-point-retirement-associatesreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/coloradofscreportedpublic record, Form ADV, Sep 19, 2026
- Website
- turningpointra.netreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $400,000derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026