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
T••••••••• A•••• M••••••••• I•••
Latest filing May 6, 2026
First filing on the tape Mar 29, 2012 · 41 filings
SEC status approved since Dec 31, 1996
RAUM
$66B
reported, Item 5.F
Discretionary
97%
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
53
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$66B as of May 6, 2026
Mar 29, 2012$49B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 29, 20120 then
Employees (5.A)53 as of May 6, 2026
Mar 28, 201329 then
Private funds: no history
RAUM +1.2% over the last fiscal year+1.3% a year over threeIARs 1 to 0
Practice profile
derived from the filing of May 6, 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
- $66BderivedRAUM 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
- $554MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 53.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$64B97%
- Pooled investment vehicles$1.8B2.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 119reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•••••• U•••••• S•••••• | Denver, Co | Sep 17, 2026 | 24 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 days0 left over 36 months
Left, latest
none on the tape
Joined, latest
- I•••••• U•••••• S•••••• from C•••••• S••••• • C••• I•••Sep 17, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••• W••••• · Chief Operating Officer, Director, Senior Vice Presidentcontrolsince 03/2022 · owns less than 5%
- G••••••••• D•••••• P•••••• · Chief Legal Officer, Assistant Secretarycontrolsince 01/2022 · owns less than 5%
- M•••••• M••••••• J••••• · Chief Accounting Officer, Treasurercontrolsince 04/2022 · owns less than 5%
- R••••••••• F•••••••• J••••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- S•••• M•••••• P••• · Director, President, Chief Executive Officer, Chairman Of The Boardcontrolsince 08/2014 · owns less than 5%
- S••••••• C••••••••• A••• · Senior Vice Presidentcontrolsince 01/2005 · owns less than 5%
- W•••• T•••••• R••••• · Chief Investment Officer, Senior Vice President, Directorcontrolsince 02/2014 · owns less than 5%
Entity owners
- A••• H••••••• L•• · Shareholderdirect · owns 10% to 25%
- T••••••••• L••• I•••••••• C•••••• · Shareholderdirect · owns 75% or more
- A•••• I••••••••• B••• · Shindirect · owns 75% or more of T••••••••• C•••• •••
- A•••• L••• · Shindirect · owns 75% or more of A•••• I••••••••• B••• · public reporting company
- C••••••••• G•••••• C••••••••• · Shindirect · owns 75% or more of T••••••••• L••• I•••••••• C••••••
- T••••••••• C•••• ••• · Mindirect · owns 75% or more of A••• H••••••• L••
- T••••••••• C•••• ••• · Shindirect · owns 75% or more of C••••••••• G•••••• C•••••••••
Related persons
Schedule D 7.A
- A•••• A•••• M••••••••• U• P••investment advisernRAUM $53B
- A•••• A•••• M••••••••• U•investment adviserpooled vehicle sponsornRAUM $89B
- T••••••••• C••••••• I•••broker-dealern
- T••••••••• Financial Advisors, LLCbroker-dealerinvestment adviserreal estatenRAUM $2.1B
- T••••••••• F•••••••• L••• I•••••••• C••••••real estaten
- T••••••••• F••• S•••••••• I•••n
- T••••••••• I•••••••• S••••••••• C•••••••••broker-dealern
- T••••••••• L••• I•••••••• C••••••real estaten
- T••••••••• R••••••••• A•••••••• L••investment adviserLP sponsornRAUM $19B
- T••••••••• R••••••••• S••••••••n
- T••••••••• T•••• C••••••n
Advisers that list T••••••••• A•••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 134 to 119Feb 26, 2026 to Mar 31, 2026
- Advisory employees · 9 to 8Feb 26, 2026 to Mar 31, 2026
- Pooled vehicle clients · 24 to 23Feb 26, 2026 to Mar 31, 2026
- Assets in custody · $49,306 to $55,258Feb 26, 2026 to Mar 31, 2026
- Employees · 56 to 53Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $64B to $64BFeb 26, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $1.5B to $1.8BFeb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.5B to $1.8BFeb 26, 2026 to Mar 31, 2026
- RAUM · $65B to $66BFeb 26, 2026 to Mar 31, 2026
- Advisory employees · 10 to 9Jan 23, 2026 to Feb 26, 2026
- BD registered reps · 9 to 8Jan 23, 2026 to Feb 26, 2026
- Employees · 58 to 56Jan 23, 2026 to Feb 26, 2026
- Insurance-licensed employees · 1 to 0Jan 23, 2026 to Feb 26, 2026
- State-registered IARs · 1 to 0Jan 23, 2026 to Feb 26, 2026
- Accounts · 135 to 134Mar 28, 2024 to Apr 28, 2025
- Advisory employees · 8 to 10Mar 28, 2024 to Apr 28, 2025
- BD registered reps · 10 to 9Mar 28, 2024 to Apr 28, 2025
- Assets in custody · $54,307 to $49,306Mar 28, 2024 to Apr 28, 2025
- Employees · 60 to 58Mar 28, 2024 to Apr 28, 2025
- Insurance-licensed employees · 0 to 1Mar 28, 2024 to Apr 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 28, 2025
- State-registered IARs · 0 to 1Mar 28, 2024 to Apr 28, 2025
- Discretionary RAUM · $65B to $64BMar 28, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $1.2B to $1.5BMar 28, 2024 to Apr 28, 2025
- Pooled vehicle RAUM · $1.2B to $1.5BMar 28, 2024 to Apr 28, 2025
- RAUM · $66B to $65BMar 28, 2024 to Apr 28, 2025
- Related bank · false to trueMar 28, 2024 to Apr 28, 2025
- Accounts · 136 to 135Oct 11, 2023 to Mar 28, 2024
- BD registered reps · 12 to 10Oct 11, 2023 to Mar 28, 2024
- Pooled vehicle clients · 27 to 24Oct 11, 2023 to Mar 28, 2024
- Assets in custody · $120,938 to $54,307Oct 11, 2023 to Mar 28, 2024
- Employees · 59 to 60Oct 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $62B to $65BOct 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.1B to $1.2BOct 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.2BOct 11, 2023 to Mar 28, 2024
- RAUM · $64B to $66BOct 11, 2023 to Mar 28, 2024
- Related bank · true to falseOct 11, 2023 to Mar 28, 2024
- Accounts · 142 to 136Apr 29, 2022 to Mar 31, 2023
- Advisory employees · 9 to 8Apr 29, 2022 to Mar 31, 2023
- BD registered reps · 9 to 12Apr 29, 2022 to Mar 31, 2023
Signals
10 dated events
- I•••••• U•••••• S•••••• registered as an investment adviser representative at T••••••••• A•••• M••••••••• I•••Sep 17, 2026 · Advisor registered · fact
- T••••••••• A•••• M••••••••• I••• reported RAUM $63.5B, down 28% from $88.6B (2022-04-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- J••• V•••••• T•••• (Vice President) no longer on Schedule A of T••••••••• A•••• M••••••••• I••• (listed 2022-03-31, absent 2022-04-29)Apr 29, 2022 · Control person left · inference
- Ronald De Leeuw (Treasurer) no longer on Schedule A of T••••••••• A•••• M••••••••• I••• (listed 2022-03-31, absent 2022-04-29)Apr 29, 2022 · Control person left · inference
- J••••• M•••••• M••••• (Chief Accounting Officer, Treasurer) appeared on Schedule A of T••••••••• A•••• M••••••••• I•••Apr 29, 2022 · Control person joined · fact
- W••••• J••••• D••••• (Chief Operating Officer, Director, Senior Vice President) appeared on Schedule A of T••••••••• A•••• M••••••••• I•••Apr 29, 2022 · Control person joined · fact
- Patrick Dennis Gallagher (Chief Legal Officer) appeared on Schedule A of T••••••••• A•••• M••••••••• I•••Mar 31, 2022 · Control person joined · fact
- D•••••• E••• N••••• (Assistant General Counsel) no longer on Schedule A of T••••••••• A•••• M••••••••• I••• (listed 2021-04-30, absent 2021-11-03)Nov 3, 2021 · Control person left · inference
- D•••••• E••• N••••• (Assistant General Counsel) appeared on Schedule A of T••••••••• A•••• M••••••••• I•••Oct 29, 2020 · Control person joined · fact
- Therese Tane Tyler (Director And Assistant Secretary) no longer on Schedule A of T••••••••• A•••• M••••••••• I••• (listed 2018-09-07, absent 2019-01-10)Jan 10, 2019 · 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
- T•••••••••.COM/INDIVIDUAL/INVESTMENTS/MUTUAL-FUNDS-OVERVIEWreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-482-1500reportedpublic record, Form ADV, May 6, 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
- Asset manager (funds and pooled vehicles)deriveda 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