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.
SEC-registered adviser
P•••••• M•• I••••••••• M•••••••••
Legal name P•••••• M•• I••••••••• M••••••••• I••
Latest filing Mar 16, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Nov 21, 1988
RAUM
$390M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$376M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$390M as of Mar 16, 2026
Mar 27, 2012$123M then
HNW client RAUM$311M as of Mar 16, 2026
Mar 15, 2018$160M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 26, 20130 then
Employees (5.A)4 as of Mar 16, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $512,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$311M80%
- Individuals$64.9M17%
- Pension and profit-sharing plans$14.3M3.7%
- Individual clients
- 137reported
- HNW clients
- 106reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 762reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J•••••• D•••••• | Lousiville, Co | Mar 8, 2005 | 22 y | 0 |
| C••••••••• P•••••• R•••••• | Superior, Co | Feb 1, 2008 | 29 y | 0 |
| C•••• R•••• J••••••Certified Financial Planner | Highlands Ranch, Co | Jan 7, 2020 | 27 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• R•••• J•••••• from S••••••••• P•••••• C•••••• M••••••••• L••Jan 7, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• C••••••••• P•••••• · President, Sr. Portfolio Managercontrolsince 12/2012 · owns 75% or more
- D••••••• K••••• J•••••• · Executive Vice President And Chief Compliance Officersince 03/2005 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lousiville, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 16, 2026accounts (Item 5.F.2.f) moved from 229.0 to 762.0 (+233.0%) between the annual amendments of 2025-02-21 and 2026-03-16; the peer median change was +5.0% (3687 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 229 to 762Feb 21, 2025 to Mar 16, 2026
- HNW clients · 98 to 106Feb 21, 2025 to Mar 16, 2026
- Individual clients · 128 to 137Feb 21, 2025 to Mar 16, 2026
- Discretionary RAUM · $311M to $376MFeb 21, 2025 to Mar 16, 2026
- HNW RAUM · $261M to $311MFeb 21, 2025 to Mar 16, 2026
- Individual RAUM · $50.6M to $64.9MFeb 21, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $12.3M to $14.3MFeb 21, 2025 to Mar 16, 2026
- Pension RAUM · $12.3M to $14.3MFeb 21, 2025 to Mar 16, 2026
- RAUM · $324M to $390MFeb 21, 2025 to Mar 16, 2026
- Accounts · 597 to 229Mar 8, 2024 to Feb 21, 2025
- HNW clients · 76 to 98Mar 8, 2024 to Feb 21, 2025
- Individual clients · 134 to 128Mar 8, 2024 to Feb 21, 2025
- Pension plan clients · 1 to 3Mar 8, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Feb 21, 2025
- Discretionary RAUM · $278M to $311MMar 8, 2024 to Feb 21, 2025
- HNW RAUM · $211M to $261MMar 8, 2024 to Feb 21, 2025
- Individual RAUM · $69.6M to $50.6MMar 8, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $7.5M to $12.3MMar 8, 2024 to Feb 21, 2025
- Pension RAUM · $4.6M to $12.3MMar 8, 2024 to Feb 21, 2025
- RAUM · $285M to $324MMar 8, 2024 to Feb 21, 2025
- Accounts · 591 to 597Mar 9, 2023 to Mar 8, 2024
- Advisory employees · 4 to 3Mar 9, 2023 to Mar 8, 2024
- HNW clients · 67 to 76Mar 9, 2023 to Mar 8, 2024
- Individual clients · 139 to 134Mar 9, 2023 to Mar 8, 2024
- Pension plan clients · 3 to 1Mar 9, 2023 to Mar 8, 2024
- State-registered IARs · 0 to 3Mar 9, 2023 to Mar 8, 2024
- Discretionary RAUM · $224M to $278MMar 9, 2023 to Mar 8, 2024
- HNW RAUM · $166M to $211MMar 9, 2023 to Mar 8, 2024
- Individual RAUM · $54.2M to $69.6MMar 9, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $9.4M to $7.5MMar 9, 2023 to Mar 8, 2024
- Pension RAUM · $13.1M to $4.6MMar 9, 2023 to Mar 8, 2024
- RAUM · $233M to $285MMar 9, 2023 to Mar 8, 2024
- Accounts · 535 to 591Mar 21, 2022 to Mar 9, 2023
- HNW clients · 82 to 67Mar 21, 2022 to Mar 9, 2023
- Individual clients · 127 to 139Mar 21, 2022 to Mar 9, 2023
- Pension plan clients · unset to 3.0Mar 21, 2022 to Mar 9, 2023
- Discretionary RAUM · $260M to $224MMar 21, 2022 to Mar 9, 2023
- HNW RAUM · $211M to $166MMar 21, 2022 to Mar 9, 2023
- Individual RAUM · $45.8M to $54.2MMar 21, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $0 to $9.4MMar 21, 2022 to Mar 9, 2023
Signals
No event on the tape.
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
- 303-436-1577reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P••••••MAN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-436-1577reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026