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.

Former SEC-registered adviser

Capital Investment Counsel Inc

Former SEC-registered adviserDenver, ColoradoCRD 106966SEC 801-36824IAPD
Latest filing Apr 7, 2015
First filing on the tape Apr 3, 2012 · 17 filings
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$334M as of Mar 31, 2015
Apr 3, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)2 as of Mar 31, 2015
Apr 1, 201331 then
Private funds: no history
RAUM -84% over the last fiscal year-44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$411,372derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-84%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
812reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Giampaolo Cosigliere · Directorcontrol
      since 01/2015 · owns less than 5%
    • M. Maria Holmes · Ceo & Presidentcontrol
      since 03/2015 · owns less than 5%
    • Michael Brian Mcdowell · Director Of Research And Tradingcontrol
      since 03/2015 · owns less than 5%
    • Darnell Keenan Mcneace · Chief Operating Officer & Chief Compliance Officercontrol
      since 06/2014 · owns less than 5%
    • Andres Mario Ramos · Secretarycontrol
      since 03/2015 · owns less than 5%
    • J. Pete Reimann · Director/Treasurercontrol
      since 07/2012 · owns less than 5%
    Entity owners
    • Compass Bank · Owner
      direct · owns 75% or more
    • Banco Bilbao Vizcaya Argentaria, S.A. · Owner Of Bbva USA Bancshares, Inc. (Tx)
      indirect · owns 75% or more of Bbva USA Bancshares, Inc. (Tx) (Formerly Compass Bancshares, Inc. [Tx] Formerly Blue Transaction Corporation) · public reporting company
    • Bbva Compass Bancshares, Inc. (Tx) (Formerly Compass Bancshares, Inc., Formerly Blue Transaction Corporation) · Owner Of Compass Bank
      indirect · owns 75% or more of Compass Bank
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 3,725 to 812
      Jan 29, 2015 to Mar 31, 2015
    • Advisory employees · 15 to 1
      Jan 29, 2015 to Mar 31, 2015
    • Advisory activities · 5 to 4
      Jan 29, 2015 to Mar 31, 2015
    • Employees · 30 to 2
      Jan 29, 2015 to Mar 31, 2015
    • Discretionary RAUM · $2.1B to $334M
      Jan 29, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $2.5M to $0
      Jan 29, 2015 to Mar 31, 2015
    • RAUM · $2.1B to $334M
      Jan 29, 2015 to Mar 31, 2015
    • Accounts · 3,778 to 3,725
      Nov 21, 2013 to Mar 24, 2014
    • Advisory employees · 16 to 15
      Nov 21, 2013 to Mar 24, 2014
    • Employees · 31 to 30
      Nov 21, 2013 to Mar 24, 2014
    • Discretionary RAUM · $1.9B to $2.1B
      Nov 21, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $2.0M to $2.5M
      Nov 21, 2013 to Mar 24, 2014
    • RAUM · $1.9B to $2.1B
      Nov 21, 2013 to Mar 24, 2014
    • Accounts · 3,867 to 3,778
      Jan 16, 2013 to Apr 1, 2013
    • Advisory activities · 3 to 5
      Jan 16, 2013 to Apr 1, 2013
    • Financial planning clients · 1-10 to 51-100
      Jan 16, 2013 to Apr 1, 2013
    • Discretionary RAUM · $1.9B to $1.9B
      Jan 16, 2013 to Apr 1, 2013
    • Non-discretionary RAUM · $2.2M to $2.0M
      Jan 16, 2013 to Apr 1, 2013
    • RAUM · $1.9B to $1.9B
      Jan 16, 2013 to Apr 1, 2013
    • Advisory employees · unset to 16.0
      Jul 13, 2012 to Nov 8, 2012
    • Employees · unset to 31.0
      Jul 13, 2012 to Nov 8, 2012
    • State-registered IARs · unset to 0.0
      Jul 13, 2012 to Nov 8, 2012
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026