DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••• F•••••••• S••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Feb 9, 2012 · 11 filings
SEC status approved since Apr 7, 2022
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$124M as of Feb 6, 2026
Feb 9, 2012$40.1M then
HNW client RAUM$82.7M as of Feb 6, 2026
Feb 22, 2023$50.1M then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Feb 9, 20120 then
Employees (5.A)2 as of Feb 6, 2026
Feb 22, 20232 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $765,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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 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)
- 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$82.7M67%
- Individuals$36.5M29%
- Pension and profit-sharing plans$4.9M4.0%
- Charitable organizations$10.0%
- Individual clients
- 131reported
- HNW clients
- 26reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 162reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• R••••• P••••••• | Denver, Co | Feb 22, 1999 | 40 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• K•••• R••••• · Cco, Managing Member, Ownercontrolsince 06/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 165 to 162Feb 5, 2025 to Feb 6, 2026
- Individual clients · 132 to 131Feb 5, 2025 to Feb 6, 2026
- Pension plan clients · 6 to 4Feb 5, 2025 to Feb 6, 2026
- Financial planning clients · 0 to 1-10Feb 5, 2025 to Feb 6, 2026
- Discretionary RAUM · $112M to $124MFeb 5, 2025 to Feb 6, 2026
- HNW RAUM · $72.4M to $82.7MFeb 5, 2025 to Feb 6, 2026
- Individual RAUM · $34.6M to $36.5MFeb 5, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $453,961 to $215,242Feb 5, 2025 to Feb 6, 2026
- Pension RAUM · $5.1M to $4.9MFeb 5, 2025 to Feb 6, 2026
- RAUM · $112M to $124MFeb 5, 2025 to Feb 6, 2026
- Accounts · 166 to 165Feb 5, 2024 to Feb 5, 2025
- HNW clients · 27 to 26Feb 5, 2024 to Feb 5, 2025
- Individual clients · 125 to 132Feb 5, 2024 to Feb 5, 2025
- Financial planning clients · 1-10 to 0Feb 5, 2024 to Feb 5, 2025
- Discretionary RAUM · $105M to $112MFeb 5, 2024 to Feb 5, 2025
- HNW RAUM · $68.4M to $72.4MFeb 5, 2024 to Feb 5, 2025
- Individual RAUM · $31.4M to $34.6MFeb 5, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $485,015 to $453,961Feb 5, 2024 to Feb 5, 2025
- Pension RAUM · $4.7M to $5.1MFeb 5, 2024 to Feb 5, 2025
- RAUM · $106M to $112MFeb 5, 2024 to Feb 5, 2025
- Accounts · 158 to 166Feb 22, 2023 to Feb 5, 2024
- Individual clients · 123 to 125Feb 22, 2023 to Feb 5, 2024
- Pension plan clients · 7 to 6Feb 22, 2023 to Feb 5, 2024
- Discretionary RAUM · $91.3M to $105MFeb 22, 2023 to Feb 5, 2024
- HNW RAUM · $50.1M to $68.4MFeb 22, 2023 to Feb 5, 2024
- Individual RAUM · $36.9M to $31.4MFeb 22, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $185,994 to $485,015Feb 22, 2023 to Feb 5, 2024
- Pension RAUM · $4.1M to $4.7MFeb 22, 2023 to Feb 5, 2024
- RAUM · $91.5M to $106MFeb 22, 2023 to Feb 5, 2024
- Accounts · 159 to 158Mar 15, 2022 to Feb 22, 2023
- HNW clients · 35 to 27Mar 15, 2022 to Feb 22, 2023
- Individual clients · 116 to 123Mar 15, 2022 to Feb 22, 2023
- Discretionary RAUM · $132M to $91.3MMar 15, 2022 to Feb 22, 2023
- HNW RAUM · $93.9M to $50.1MMar 15, 2022 to Feb 22, 2023
- Individual RAUM · $32.1M to $36.9MMar 15, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $359,704 to $185,994Mar 15, 2022 to Feb 22, 2023
- Pension RAUM · $5.8M to $4.1MMar 15, 2022 to Feb 22, 2023
- RAUM · $132M to $91.5MMar 15, 2022 to Feb 22, 2023
- Accounts · 160 to 159May 5, 2021 to Mar 7, 2022
- Charity clients · 2 to 1May 5, 2021 to Mar 7, 2022
Signals
1 dated events
- P••••••• F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2021 · First SEC registration · fact
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
- 303-831-4800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••••FS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 303-831-4800reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026