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
V•••• F•••••••• A•••••••• I•••
Latest filing May 14, 2024
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Dec 28, 1990
RAUM
$105M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$35.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$105M as of May 14, 2024
Mar 30, 2012$120M then
HNW client RAUM$53.6M as of May 14, 2024
Mar 29, 2018$44.4M then
State-registered IARs (5.B.3)4 as of May 14, 2024
Mar 30, 20120 then
Employees (5.A)4 as of May 14, 2024
Mar 27, 20135 then
Private funds: no history
RAUM +5.4% over the last fiscal year+0.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 14, 2024; 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
- 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
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $518,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $10.8M, 22 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$53.6M51%
- Individuals$51.7M49%
- Individual clients
- 167reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 203reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.8M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• T••••• | Denver, Co | Apr 27, 2026 | 42 y | 1 |
| W•••••• C•••••• M••••Chartered Financial Analyst | Denver, Co | Apr 27, 2026 | 44 y | 1 |
| P•••••• H•••• C•••••• | Orlando, Fl | Jul 23, 2026 | 18 y | 2 |
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
- P•••••• H•••• C•••••• from T• R••• P•••• A••••••• S•••••••• I•••Sep 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P••••••• H•••• · President, Owner, Ccocontrolsince 01/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list V•••• F•••••••• A•••••••• I••• as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 207 to 203Feb 13, 2023 to Apr 1, 2024
- HNW clients · 36 to 34Feb 13, 2023 to Apr 1, 2024
- Individual clients · 171 to 167Feb 13, 2023 to Apr 1, 2024
- Assets in custody · $7.5M to $10.8MFeb 13, 2023 to Apr 1, 2024
- HQ city · DENVER to ORLANDOFeb 13, 2023 to Apr 1, 2024
- HQ state · CO to FLFeb 13, 2023 to Apr 1, 2024
- Discretionary RAUM · $91.0M to $98.0MFeb 13, 2023 to Apr 1, 2024
- HNW RAUM · $50.6M to $53.6MFeb 13, 2023 to Apr 1, 2024
- Individual RAUM · $49.2M to $51.7MFeb 13, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $8.8M to $7.2MFeb 13, 2023 to Apr 1, 2024
- RAUM · $99.9M to $105MFeb 13, 2023 to Apr 1, 2024
- Accounts · 220 to 207Aug 18, 2022 to Feb 13, 2023
- BD registered reps · 2 to 1Aug 18, 2022 to Feb 13, 2023
- HNW clients · 22 to 36Aug 18, 2022 to Feb 13, 2023
- Individual clients · 197 to 171Aug 18, 2022 to Feb 13, 2023
- Assets in custody · $8.4M to $7.5MAug 18, 2022 to Feb 13, 2023
- Discretionary RAUM · $94.7M to $91.0MAug 18, 2022 to Feb 13, 2023
- HNW RAUM · $37.6M to $50.6MAug 18, 2022 to Feb 13, 2023
- Individual RAUM · $65.3M to $49.2MAug 18, 2022 to Feb 13, 2023
- Non-discretionary RAUM · $8.1M to $8.8MAug 18, 2022 to Feb 13, 2023
- RAUM · $103M to $99.9MAug 18, 2022 to Feb 13, 2023
- Other offices · 0 to 1Mar 23, 2022 to Aug 18, 2022
- Accounts · 217 to 220Mar 8, 2021 to Mar 23, 2022
- Advisory activities · 2 to 3Mar 8, 2021 to Mar 23, 2022
- HNW clients · 18 to 22Mar 8, 2021 to Mar 23, 2022
- Individual clients · 199 to 197Mar 8, 2021 to Mar 23, 2022
- Assets in custody · $18.2M to $8.4MMar 8, 2021 to Mar 23, 2022
- Employees · 5 to 4Mar 8, 2021 to Mar 23, 2022
- Discretionary RAUM · $96.9M to $94.7MMar 8, 2021 to Mar 23, 2022
- HNW RAUM · $31.5M to $37.6MMar 8, 2021 to Mar 23, 2022
- Individual RAUM · $71.1M to $65.3MMar 8, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $5.7M to $8.1MMar 8, 2021 to Mar 23, 2022
- RAUM · $103M to $103MMar 8, 2021 to Mar 23, 2022
- Accounts · 208 to 217Jan 22, 2021 to Mar 8, 2021
- HNW clients · 16 to 18Jan 22, 2021 to Mar 8, 2021
- Individual clients · 192 to 199Jan 22, 2021 to Mar 8, 2021
- Assets in custody · $2.4M to $18.2MJan 22, 2021 to Mar 8, 2021
- Discretionary RAUM · $90.7M to $96.9MJan 22, 2021 to Mar 8, 2021
- HNW RAUM · $29.9M to $31.5MJan 22, 2021 to Mar 8, 2021
- Individual RAUM · $66.4M to $71.1MJan 22, 2021 to Mar 8, 2021
Signals
2 dated events
- Haydn Phillip Connors (President, Owner, Cco) appeared on Schedule A of V•••• F•••••••• A•••••••• I•••Apr 1, 2024 · Control person joined · fact
- Haydn William Connors (President, Director, Chief Compliance Officer) no longer on Schedule A of V•••• F•••••••• A•••••••• I••• (listed 2023-02-13, absent 2024-04-01)Apr 1, 2024 · 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
- Website
- V••••FINANCIALADVISERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-770-3030reportedpublic record, Form ADV, May 14, 2024
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
- $35.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026