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
I••••••••• R••••••• C•••
Latest filing Mar 30, 2026
First filing on the tape Jan 19, 2012 · 32 filings
SEC status approved since Apr 26, 1972
RAUM
$76.3M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
66%
$50.7M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$4.8M
derived; firm RAUM over IAPD count
Employees
21
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$76.3M as of Mar 30, 2026
Jan 19, 2012$19.2M then
HNW client RAUM$11.5M as of Mar 30, 2026
Mar 1, 2019$3.8M then
State-registered IARs (5.B.3)15 as of Mar 30, 2026
Apr 1, 20132 then
Employees (5.A)21 as of Mar 30, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +20% over the last fiscal year+21% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $4.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $459,759derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Individuals$39.2M51%
- Investment companies$19.9M26%
- High-net-worth individuals$11.5M15%
- Pension and profit-sharing plans$5.7M7.5%
- Individual clients
- 159reported
- HNW clients
- 4reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 166reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.66 fund_share=0.26 institutional_share=0.08 related_bd=true related_bank=false bd_reps=15.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• E••••• T•••••• | Denver, Co | Apr 16, 2004 | 29 y | 1 |
| B•••• J••••• R•••• | Pittsburgh, Pa | Jul 22, 2010 | 39 y | 3 |
| P••• W•••••• F••••• | Saint Clairsville, Oh | Jan 4, 2011 | 21 y | 1 |
| J••• E••••• W••••••Chartered Financial Consultant | Colorado Springs, Co | Jan 9, 2012 | 35 y | 1 |
| B•••• K•• W•• L•••• | Denver, Co | Feb 3, 2015 | 40 y | 3 |
| M•••••• V••••••• S••••••Certified Financial Planner | York, Pa | Oct 10, 2016 | 41 y | 0 |
| T••• C•••••••• S•••• | Silverton, Or | Feb 14, 2017 | 28 y | 5 |
| M••• D• M••••• | Kingwood, Tx | May 31, 2017 | 30 y | 1 |
| M•••••• J•••• T•••••••••Certified Financial Planner, Chartered Financial Consultant | Saint Clairsville, Oh | Sep 1, 2020 | 23 y | 4 |
| J•• M••••• Z•••••••• | Denver, Co | Jan 4, 2021 | 26 y | 2 |
| J•••• E••• A••••••• | Denver, Co | Jan 27, 2022 | 19 y | 1 |
| C•••••••• S••••• N•••••• | Denver, Co | Feb 8, 2024 | 32 y | 5 |
| H•••• S•• K••••••Chartered Financial Consultant | Claysburg, Pa | Apr 17, 2025 | 24 y | 3 |
| E••• W•• T••• L•• | Denver, Co | May 8, 2025 | 13 y | 5 |
| M•••••• D•••• R•••• | Lago Vista, Tx | Nov 17, 2025 | 13 y | 3 |
| J•••• A•••••• P••••• | Champaign, Il | Jul 30, 2026 | 22 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- M•••••• D•••• R•••• to K••••• P•••••• W••••• S•••••••• L••Sep 3, 2024 · RIA to affiliated broker-dealer or bank
- P•••••• R••• H••••• to O•••• W•••••• I•••Aug 22, 2024 · RIA to affiliated broker-dealer or bank
- J••••• M•••••• C••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 3, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• J•••• T••••••••• to I•• A•••• M••••••••• L•••Dec 31, 2018 · RIA to RIA
- S•••••• S•••••• W••• to G•• S••••••••• I•••Dec 5, 2017 · Other
- J••••• S•••• E•••• to S•••••••• A••••••• L••Sep 21, 2017 · Other
- C•••••••• M••••••• M••••••••• to F•••••••• E••••• S•••••••• I•••Sep 23, 2015 · Other
- B•••• C•••••• J•••••• to P•••••• C••••• W••••• A•••••••• L••Feb 9, 2015 · Other
- J•••• W•••• B•••• to S••••• A•••• M••••••••• L•••••Aug 15, 2012 · Other
- M•••• E•••••••• B••••••••• to S••••• A•••• M••••••••• L•••••Aug 15, 2012 · Other
- J••• R•••• M•••••••• to E•• A••••••• L••Apr 27, 2011 · Other
- G••• R•••••• M••••••• to S••••• M•••• M••••••••• I•••Nov 23, 2010 · Other
Joined, latest
- J•••• A•••••• P••••• from S•••••• N••••••• • C••••••• I•••••••••Jul 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• R•••• from K••••• P•••••• W••••• S•••••••• L••Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- E••• W•• T••• L•• from S••••• A••••••• I•••May 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- H•••• S•• K•••••• from G•••• P•••• A•••••••• L••Apr 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• R•••• from E••••• J••••Apr 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• S••••• N•••••• from M•• I•••••••• S•••••••• L••Feb 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••••• R••• H••••• from M•• I•••••••• S•••••••• L••Apr 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• E••• A••••••• from N••• F•••••••• G••••• I•••Jan 27, 2022 · Other
- J•• M••••• Z•••••••• from S••••• A••••••• I•••Jan 4, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J•••• T••••••••• from I•• A•••• M••••••••• L•••Sep 1, 2020 · RIA to RIA
- M••• D• M••••• from 1••• C•••••• M••••••••• C••••••May 31, 2017 · Other
- T••• C•••••••• S•••• from L•• F•••••••• L••Feb 14, 2017 · Other
- J••••• S•••• E•••• from I•••••••• C•••••• A•••••••Feb 14, 2017 · Other
- B•••• K•• W•• L•••• from L•••••• I•••••••••Feb 3, 2015 · Other
- J•••• W•••• B•••• from H•••• F•••••••• S•••••••• I•••Jun 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• P•••••••• A•• · Vice Presidentcontrolsince 06/2013 · owns less than 5%
- G••••••• M••••••• L••••••• · Vice President And Corporate Secretarycontrolsince 09/2004 · owns less than 5%
- T••••••• T••••••• E••••• · President, Treasurer And Chief Compliance Officercontrolsince 04/2004 · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• G••••• F•••••••• S•••••••real estatey
- W•••• C•••••• A•••••••• L••investment adviseryRAUM $72.0M
- W•••• C•••••• B••••••••• I•••broker-dealery
Advisers that list I••••••••• R••••••• C••• as a related person
- 135941 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 16 | 2 | 0 | ||
| Saint Clairsville, Oh | 2 | 0 | 0 | ||
| Lago Vista, Tx | 1 | 1 | 0 | ||
| Jacksonville, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 177 to 166Mar 6, 2025 to Mar 30, 2026
- Advisory employees · 14 to 16Mar 6, 2025 to Mar 30, 2026
- BD registered reps · 12 to 15Mar 6, 2025 to Mar 30, 2026
- HNW clients · 5 to 4Mar 6, 2025 to Mar 30, 2026
- Individual clients · 169 to 159Mar 6, 2025 to Mar 30, 2026
- Employees · 17 to 21Mar 6, 2025 to Mar 30, 2026
- State-registered IARs · 14 to 15Mar 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $20.2M to $19.9MMar 6, 2025 to Mar 30, 2026
- HNW RAUM · $10.5M to $11.5MMar 6, 2025 to Mar 30, 2026
- Individual RAUM · $28.1M to $39.2MMar 6, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $43.3M to $56.4MMar 6, 2025 to Mar 30, 2026
- Pension RAUM · $4.7M to $5.7MMar 6, 2025 to Mar 30, 2026
- RAUM · $63.4M to $76.3MMar 6, 2025 to Mar 30, 2026
- Accounts · 150 to 177Mar 27, 2024 to Mar 6, 2025
- Advisory employees · 15 to 14Mar 27, 2024 to Mar 6, 2025
- BD registered reps · 13 to 12Mar 27, 2024 to Mar 6, 2025
- HNW clients · 3 to 5Mar 27, 2024 to Mar 6, 2025
- Individual clients · 144 to 169Mar 27, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 6, 2025
- Discretionary RAUM · $18.5M to $20.2MMar 27, 2024 to Mar 6, 2025
- HNW RAUM · $7.6M to $10.5MMar 27, 2024 to Mar 6, 2025
- Individual RAUM · $21.9M to $28.1MMar 27, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $33.5M to $43.3MMar 27, 2024 to Mar 6, 2025
- Pension RAUM · $4.0M to $4.7MMar 27, 2024 to Mar 6, 2025
- RAUM · $52.0M to $63.4MMar 27, 2024 to Mar 6, 2025
- Accounts · 117 to 150Mar 3, 2023 to Mar 27, 2024
- Advisory employees · 16 to 15Mar 3, 2023 to Mar 27, 2024
- BD registered reps · 14 to 13Mar 3, 2023 to Mar 27, 2024
- Individual clients · 111 to 144Mar 3, 2023 to Mar 27, 2024
- Employees · 18 to 17Mar 3, 2023 to Mar 27, 2024
- State-registered IARs · 15 to 14Mar 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $16.2M to $18.5MMar 3, 2023 to Mar 27, 2024
- HNW RAUM · $7.3M to $7.6MMar 3, 2023 to Mar 27, 2024
- Individual RAUM · $16.8M to $21.9MMar 3, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $27.3M to $33.5MMar 3, 2023 to Mar 27, 2024
- Pension RAUM · $3.2M to $4.0MMar 3, 2023 to Mar 27, 2024
- RAUM · $43.5M to $52.0MMar 3, 2023 to Mar 27, 2024
- Accounts · 135 to 117Mar 25, 2022 to Mar 3, 2023
- Advisory employees · 14 to 16Mar 25, 2022 to Mar 3, 2023
- BD registered reps · 12 to 14Mar 25, 2022 to Mar 3, 2023
Signals
2 dated events
- M•••••• D•••• R•••• left I••••••••• R••••••• C••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-09-03)Sep 3, 2024 · Advisor changed firm · fact
- P•••••• R••• H••••• left I••••••••• R••••••• C••• for O•••• W•••••• I••• (registered 2024-08-23)Aug 22, 2024 · Advisor changed firm · 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
- Business email
- mgaughan@invresearch.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-626-0634reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-626-0634reportedpublic record, Form ADV, Mar 30, 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
- $4.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026