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.
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SEC-registered adviser
P••••••• W••• A•••• M••••••••• I••
Latest filing Apr 1, 2026
First filing on the tape Mar 5, 2014 · 14 filings
SEC status approved since Nov 26, 1991
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$216M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$246M as of Apr 1, 2026
Mar 5, 2014$65.2M then
HNW client RAUM$204M as of Apr 1, 2026
Mar 22, 2018$65.6M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 5, 20140 then
Employees (5.A)3 as of Apr 1, 2026
Mar 5, 20141 then
Private funds: no history
RAUM +7.1% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M83%
- Corporations and businesses$18.2M7.4%
- Individuals$12.4M5.0%
- Charitable organizations$10.9M4.4%
- Pension and profit-sharing plans$345,9490.1%
- Individual clients
- 39reported
- HNW clients
- 46reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 226reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| T•• R• C•••••• | Casper, Wy | Oct 3, 2017 | 19 y | 0 |
| L••• R••••• H•••••••• | Casper, Wy | Nov 30, 2018 | 19 y | 0 |
| A••• B• W•••••••• | Casper, Wy | Dec 20, 2022 | 15 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
- C••••••• T••• R• · Presidentcontrolsince 10/1991 · owns 50% to 75%
- W••••••••• A•••• B• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- W••••••••• R••••• W• · Treasurercontrolsince 10/1991 · owns 25% to 50%
Related persons
Schedule D 7.A
- R•••• W• W••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Casper, Wy · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 221 to 226Mar 22, 2025 to Apr 1, 2026
- HNW clients · 44 to 46Mar 22, 2025 to Apr 1, 2026
- Individual clients · 44 to 39Mar 22, 2025 to Apr 1, 2026
- Discretionary RAUM · $230M to $246MMar 22, 2025 to Apr 1, 2026
- HNW RAUM · $188M to $204MMar 22, 2025 to Apr 1, 2026
- Individual RAUM · $14.1M to $12.4MMar 22, 2025 to Apr 1, 2026
- Pension RAUM · $306,090 to $345,949Mar 22, 2025 to Apr 1, 2026
- RAUM · $230M to $246MMar 22, 2025 to Apr 1, 2026
- Accounts · 214 to 221Feb 9, 2024 to Mar 22, 2025
- Corporate clients · 8 to 9Feb 9, 2024 to Mar 22, 2025
- HNW clients · 42 to 44Feb 9, 2024 to Mar 22, 2025
- Individual clients · 45 to 44Feb 9, 2024 to Mar 22, 2025
- Financial planning clients · unset to Feb 9, 2024 to Mar 22, 2025
- Discretionary RAUM · $202M to $230MFeb 9, 2024 to Mar 22, 2025
- HNW RAUM · $163M to $188MFeb 9, 2024 to Mar 22, 2025
- Individual RAUM · $15.2M to $14.1MFeb 9, 2024 to Mar 22, 2025
- Pension RAUM · $267,039 to $306,090Feb 9, 2024 to Mar 22, 2025
- RAUM · $202M to $230MFeb 9, 2024 to Mar 22, 2025
- Accounts · 219 to 214Mar 1, 2023 to Feb 9, 2024
- Charity clients · 2 to 3Mar 1, 2023 to Feb 9, 2024
- Corporate clients · 7 to 8Mar 1, 2023 to Feb 9, 2024
- Individual clients · 48 to 45Mar 1, 2023 to Feb 9, 2024
- Financial planning clients · 0 to unsetMar 1, 2023 to Feb 9, 2024
- Discretionary RAUM · $168M to $202MMar 1, 2023 to Feb 9, 2024
- HNW RAUM · $137M to $163MMar 1, 2023 to Feb 9, 2024
- Individual RAUM · $14.6M to $15.2MMar 1, 2023 to Feb 9, 2024
- Pension RAUM · $234,073 to $267,039Mar 1, 2023 to Feb 9, 2024
- RAUM · $168M to $202MMar 1, 2023 to Feb 9, 2024
- Accounts · 90 to 219Nov 30, 2022 to Mar 1, 2023
- Advisory employees · 2 to 3Nov 30, 2022 to Mar 1, 2023
- HNW clients · 37 to 42Nov 30, 2022 to Mar 1, 2023
- Individual clients · 42 to 48Nov 30, 2022 to Mar 1, 2023
- Pension plan clients · 2 to 1Nov 30, 2022 to Mar 1, 2023
- Employees · 2 to 3Nov 30, 2022 to Mar 1, 2023
- State-registered IARs · 0 to 3Nov 30, 2022 to Mar 1, 2023
- Discretionary RAUM · $151M to $168MNov 30, 2022 to Mar 1, 2023
- HNW RAUM · $112M to $137MNov 30, 2022 to Mar 1, 2023
- Individual RAUM · $16.0M to $14.6MNov 30, 2022 to Mar 1, 2023
- Pension RAUM · $878,272 to $234,073Nov 30, 2022 to Mar 1, 2023
- RAUM · $151M to $168MNov 30, 2022 to Mar 1, 2023
Signals
1 dated events
- B A••• W•••••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• W••• A•••• M••••••••• I••Mar 1, 2023 · Control person joined · 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
- Principal office phone
- 307-235-3300reportedpublic record, Form ADV, Apr 1, 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
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026