DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
M••• K••• • A••••••••• I••
Independent wealth manager, based in Denver, Colorado, reporting $370M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $370M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +21%
- Private clients
- 99% of RAUM, $367M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $305MRAUM now $370M
- accounts (Item 5.F.2.f) 1308Peer median 0.0453296703296703
- Contact points 4
Every filed figure, and the identifiersCRD 106627 · SEC 801-23074 · 24 filingsShowHide
CRD 106627SEC 801-23074First filing on the tape Mar 20, 2012, latest May 1, 2026SEC status approved since Jan 15, 1985IAPD
RAUM
$370M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$367M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$370M
derived; firm RAUM over IAPD count
Employees
4
2 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$370M as of May 1, 2026
Mar 20, 2012$108M then
HNW client RAUM$344M as of May 1, 2026
Mar 9, 2018$161M then
State-registered IARs (5.B.3)1 as of May 1, 2026
Mar 20, 20120 then
Employees (5.A)4 as of May 1, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +21% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 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
- $370MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 165derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $282,599derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +6.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $367M, 165 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
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$344M93%
- Individuals$23.4M6.3%
- Corporations and businesses$2.5M0.7%
- Individual clients
- 71reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,308reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $367M for 165 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A••••• M•••••• K•••Certified Financial Planner, Personal Financial Specialist | Denver, Co | Apr 27, 2017 | 33 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
- K•••• M•••••• Z••• · Presidentcontrolsince 07/1989 · owns 50% to 75%
- N•••••• C•••••••• L•• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- B•••••• A•••••• · Associatesince 12/2019 · owns less than 5%
- K•••• A•••••• M•••••• · Vice President/Secretary/Treasurersince 01/1998 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
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 collapseChange between filings · filing Mar 19, 2026accounts (Item 5.F.2.f) moved from 2,453.0 to 1,308.0 (-47.0%) between the annual amendments of 2025-03-26 and 2026-03-19; the peer median change was +5.0% (3685 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 2,453 to 1,308Mar 26, 2025 to Mar 19, 2026
- HNW clients · 91 to 94Mar 26, 2025 to Mar 19, 2026
- Individual clients · 64 to 71Mar 26, 2025 to Mar 19, 2026
- Pension plan clients · 1.0 to unsetMar 26, 2025 to Mar 19, 2026
- Assets in custody · $305M to $367MMar 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $261M to $329MMar 26, 2025 to Mar 19, 2026
- HNW RAUM · $248M to $344MMar 26, 2025 to Mar 19, 2026
- Individual RAUM · $54.5M to $23.4MMar 26, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $44.7M to $40.7MMar 26, 2025 to Mar 19, 2026
- Pension RAUM · 32300.0 to unsetMar 26, 2025 to Mar 19, 2026
- RAUM · $305M to $370MMar 26, 2025 to Mar 19, 2026
- Accounts · 1,454 to 2,453Feb 22, 2024 to Mar 26, 2025
- HNW clients · 83 to 91Feb 22, 2024 to Mar 26, 2025
- Individual clients · 72 to 64Feb 22, 2024 to Mar 26, 2025
- Assets in custody · $35.3M to $305MFeb 22, 2024 to Mar 26, 2025
- Employees · 5 to 4Feb 22, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Feb 22, 2024 to Mar 26, 2025
- State-registered IARs · 2 to 1Feb 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $251M to $261MFeb 22, 2024 to Mar 26, 2025
- HNW RAUM · $245M to $248MFeb 22, 2024 to Mar 26, 2025
- Individual RAUM · $32.5M to $54.5MFeb 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $35.3M to $44.7MFeb 22, 2024 to Mar 26, 2025
- Pension RAUM · $5.6M to $32,300Feb 22, 2024 to Mar 26, 2025
- RAUM · $286M to $305MFeb 22, 2024 to Mar 26, 2025
- Accounts · 1,738 to 1,454Feb 23, 2023 to Feb 22, 2024
- HNW clients · 77 to 83Feb 23, 2023 to Feb 22, 2024
- Individual clients · 71 to 72Feb 23, 2023 to Feb 22, 2024
- Assets in custody · $29.9M to $35.3MFeb 23, 2023 to Feb 22, 2024
- Discretionary RAUM · $228M to $251MFeb 23, 2023 to Feb 22, 2024
- HNW RAUM · $53.2M to $245MFeb 23, 2023 to Feb 22, 2024
- Individual RAUM · $196M to $32.5MFeb 23, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $30.2M to $35.3MFeb 23, 2023 to Feb 22, 2024
- Pension RAUM · $6.0M to $5.6MFeb 23, 2023 to Feb 22, 2024
- RAUM · $258M to $286MFeb 23, 2023 to Feb 22, 2024
- Accounts · 1,585 to 1,738Mar 15, 2022 to Feb 23, 2023
- Advisory employees · 3 to 2Mar 15, 2022 to Feb 23, 2023
- HNW clients · 87 to 77Mar 15, 2022 to Feb 23, 2023
- Individual clients · 52 to 71Mar 15, 2022 to Feb 23, 2023
- Assets in custody · $40.8M to $29.9MMar 15, 2022 to Feb 23, 2023
- Discretionary RAUM · $252M to $228MMar 15, 2022 to Feb 23, 2023
Signals
5 dated events
- ••• LockedMay 1, 2026 · ria majority owner change · derived
- ••• LockedMay 1, 2026 · ria principal change · derived
- ••• LockedMay 1, 2026 · ria ownership band change · fact
- ••• LockedMay 1, 2026 · ria ownership band change · fact
- ••• LockedMay 1, 2026 · Control person left · inference
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, May 1, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 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
- $370Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026