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
R••••• S••••••• V••• • P•••• I••
Latest filing Jan 27, 2026
First filing on the tape Mar 21, 2012 · 23 filings
SEC status approved since May 25, 1976
RAUM
$779M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$680M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$779M as of Jan 27, 2026
Mar 21, 2012$266M then
HNW client RAUM$634M as of Jan 27, 2026
Mar 14, 2018$298M then
State-registered IARs (5.B.3)5 as of Jan 27, 2026
Mar 26, 20134 then
Employees (5.A)7 as of Jan 27, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +1.8% over the last fiscal year+4.8% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $194M, 80 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$634M81%
- Charitable organizations$98.5M13%
- Individuals$46.3M5.9%
- Individual clients
- 153reported
- HNW clients
- 237reported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 404reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 80 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• S•••••• P••••Chartered Financial Analyst | Colorado Springs, Co | Nov 9, 1998 | 42 y | 0 |
| J••• W••••• H•••••Chartered Financial Analyst | Colorado Springs, Co | Sep 30, 2009 | 27 y | 0 |
| S••••• R••• V•••Chartered Financial Analyst | Colorado Springs,, Co | Sep 3, 2025 | 36 y | 0 |
| F•••••••• B•••• S•••••••Chartered Financial Analyst | Colorado Springs, Co | Nov 13, 2025 | 36 y | 0 |
| M••• B•••• M•••••••Chartered Financial Analyst | Colorado Springs, Co | Nov 20, 2025 | 22 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M••• B•••• M••••••• from U•• F•••••••• S••••••• I•••Nov 20, 2025 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• W••••• · Managing Directorcontrolsince 09/2009 · owns less than 5%
- P••••• P•••••• S•••••• · Vice President/Secretarycontrolsince 02/2000 · owns 25% to 50%
- S•••••••• F••••••••• B•••• · Vice President, Treasurer, Chief Compliance Officercontrolsince 03/2016 · owns 25% to 50%
- V•••• S•••••• R••• · Presidentcontrolsince 02/2000 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Princeton, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 390 to 404Feb 4, 2025 to Jan 27, 2026
- Charity clients · 17 to 14Feb 4, 2025 to Jan 27, 2026
- HNW clients · 230 to 237Feb 4, 2025 to Jan 27, 2026
- Individual clients · 143 to 153Feb 4, 2025 to Jan 27, 2026
- Assets in custody · $174M to $194MFeb 4, 2025 to Jan 27, 2026
- Discretionary RAUM · $756M to $770MFeb 4, 2025 to Jan 27, 2026
- HNW RAUM · $609M to $634MFeb 4, 2025 to Jan 27, 2026
- Individual RAUM · $44.3M to $46.3MFeb 4, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $8.4M to $8.9MFeb 4, 2025 to Jan 27, 2026
- RAUM · $765M to $779MFeb 4, 2025 to Jan 27, 2026
- Accounts · 353 to 390Jan 17, 2025 to Feb 4, 2025
- Charity clients · 15 to 17Jan 17, 2025 to Feb 4, 2025
- HNW clients · 202 to 230Jan 17, 2025 to Feb 4, 2025
- Individual clients · 136 to 143Jan 17, 2025 to Feb 4, 2025
- Assets in custody · $130M to $174MJan 17, 2025 to Feb 4, 2025
- Financial planning clients · unset to Jan 17, 2025 to Feb 4, 2025
- Discretionary RAUM · $670M to $756MJan 17, 2025 to Feb 4, 2025
- HNW RAUM · $520M to $609MJan 17, 2025 to Feb 4, 2025
- Individual RAUM · $46.2M to $44.3MJan 17, 2025 to Feb 4, 2025
- Non-discretionary RAUM · $7.3M to $8.4MJan 17, 2025 to Feb 4, 2025
- RAUM · $677M to $765MJan 17, 2025 to Feb 4, 2025
- Accounts · 348 to 353Mar 14, 2023 to Mar 21, 2024
- Advisory activities · 3 to 2Mar 14, 2023 to Mar 21, 2024
- Charity clients · 16 to 15Mar 14, 2023 to Mar 21, 2024
- HNW clients · 195 to 202Mar 14, 2023 to Mar 21, 2024
- Individual clients · 137 to 136Mar 14, 2023 to Mar 21, 2024
- Assets in custody · $106M to $130MMar 14, 2023 to Mar 21, 2024
- Employees · 5 to 7Mar 14, 2023 to Mar 21, 2024
- Discretionary RAUM · $669M to $670MMar 14, 2023 to Mar 21, 2024
- HNW RAUM · $527M to $520MMar 14, 2023 to Mar 21, 2024
- Individual RAUM · $46.4M to $46.2MMar 14, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $6.8M to $7.3MMar 14, 2023 to Mar 21, 2024
- RAUM · $676M to $677MMar 14, 2023 to Mar 21, 2024
- Accounts · 320 to 348Mar 10, 2022 to Mar 14, 2023
- Advisory employees · 4 to 5Mar 10, 2022 to Mar 14, 2023
- HNW clients · 186 to 195Mar 10, 2022 to Mar 14, 2023
- Individual clients · 118 to 137Mar 10, 2022 to Mar 14, 2023
- Assets in custody · $91.4M to $106MMar 10, 2022 to Mar 14, 2023
- Employees · 4 to 5Mar 10, 2022 to Mar 14, 2023
- State-registered IARs · 4 to 5Mar 10, 2022 to Mar 14, 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 email
- r•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-454-3587reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-454-3588reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 719-473-6925reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-473-6925reportedpublic record, Form ADV, Jan 27, 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026