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.
SEC-registered adviser
Icon Advisers, Inc.
Latest filing May 26, 2026
First filing on the tape Mar 23, 2012 · 36 filings
SEC status approved since May 17, 1991
RAUM
$876M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$92.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$292M
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$876M as of May 26, 2026
Mar 23, 2012$1.9B then
HNW client RAUM$89.1M as of May 26, 2026
Mar 29, 2018$83.2M then
State-registered IARs (5.B.3)3 as of May 26, 2026
Mar 22, 20139 then
Employees (5.A)14 as of May 26, 2026
Mar 22, 201342 then
Private funds: no history
RAUM +10% over the last fiscal year+10% a year over threeIARs 2 to 3
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
- RAUM per advisor
- $292MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.7MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$783M89%
- High-net-worth individuals$89.1M10%
- Individuals$3.6M0.4%
- Individual clients
- 283reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 297reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.11 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Craig Thomas Callahan | Greenwood Village, Co | Jul 9, 2002 | 46 y | 0 |
| Donovan Jerald PaulChartered Financial Analyst | Greenwood Village, Co | Jun 20, 2013 | 33 y | 4 |
| Kenneth Harold Aulbach | Mountain Lakes, Nj | Jul 1, 2025 | 24 y | 4 |
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
- Derek Norman Rollingson to Independent Financial PartnersMay 31, 2019 · Other
- Geoffrey P Jarocki to Edward JonesMar 17, 2017 · Other
- Michael Paul Kuehn to Dividend Assets Capital, LLCOct 7, 2015 · Other
- Stephen Alfred Moran to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2015 · Other
- Robert William Straus to Schwab Wealth Advisory, Inc.Mar 14, 2014 · Other
- Dennis Loyd Engel to Astor Asset Management LLCMar 16, 2012 · Other
- Peter Kinsley Miller to Argyle Capital Management, LLCJan 4, 2012 · Other
- Daniel Saul Ferszt to Empower Advisory Group, LLCJan 3, 2012 · Other
- Elvis Medica to Assetmark, Inc.Sep 9, 2009 · Other
- Aaron Leffingwell to Merk Investments LLCMar 18, 2009 · Other
- Brian E Biehl to Wells Fargo AdvisorsFeb 24, 2009 · Other
- William Lee Kieran to Curian Capital, LLCOct 24, 2008 · Other
- Warren Francis Mulhern to Dolan Capital Group, LLCOct 24, 2008 · Other
- Christopher Paydock to Curian Capital, LLCOct 20, 2008 · Other
- Edward Thomas Reiser to Key Investment Services LLCOct 8, 2008 · Other
Joined, latest
- Kenneth Harold Aulbach from American Portfolios Advisors, IncJul 1, 2025 · Other
- Geoffrey P Jarocki from Amundi Pioneer Institutional Asset Management, Inc.Jul 23, 2014 · Other
- Donovan Jerald Paul from Essential Investment Partners, LLCJun 20, 2013 · Other
- Dennis Loyd Engel from Wakefield Asset Management, LllpNov 1, 2011 · Other
- Daniel Saul Ferszt from Old Mutual CapitalAug 16, 2010 · Other
- Stephen Alfred Moran from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 25, 2010 · Other
- Brian E Biehl from Lincoln InvestmentMar 7, 2008 · Other
- William Lee Kieran from Bny Mellon Advisors, Inc.Nov 8, 2007 · Other
- Laura Lynn Callahan from Chase Investment Services Corp.Sep 27, 2007 · Other
- Warren Francis Mulhern from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 19, 2007 · Other
- Edward Thomas Reiser from Keybanc Capital Markets Inc.Apr 16, 2007 · Other
- Peter Kinsley Miller from Argyle Capital Management, LLCOct 3, 2006 · Other
- Christopher Paydock from Bny Mellon Advisors, Inc.Mar 21, 2006 · Other
- Robert Bradley Miller from Keybanc Capital Markets Inc.Dec 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Brian Callahan · President, Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- Thomas Craig Callahan · Owner - Portfolio Managercontrolsince 10/2014 · owns less than 5%
- Thomas Craig Callahan · Directorcontrolsince 01/1995 · owns 75% or more of Icon Management & Research Corporation
Entity owners
- Icon Management & Research Corporation · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 341 to 297Mar 27, 2025 to Mar 13, 2026
- BD registered reps · 10 to 11Mar 27, 2025 to Mar 13, 2026
- Individual clients · 327 to 283Mar 27, 2025 to Mar 13, 2026
- Employees · 13 to 14Mar 27, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 3Mar 27, 2025 to Mar 13, 2026
- Discretionary RAUM · $794M to $876MMar 27, 2025 to Mar 13, 2026
- HNW RAUM · $81.3M to $89.1MMar 27, 2025 to Mar 13, 2026
- Individual RAUM · $4.4M to $3.6MMar 27, 2025 to Mar 13, 2026
- RAUM · $794M to $876MMar 27, 2025 to Mar 13, 2026
- Accounts · 421 to 341Mar 28, 2024 to Mar 27, 2025
- BD registered reps · 9 to 10Mar 28, 2024 to Mar 27, 2025
- HNW clients · 11 to 7Mar 28, 2024 to Mar 27, 2025
- Individual clients · 403 to 327Mar 28, 2024 to Mar 27, 2025
- Employees · 14 to 13Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $719M to $794MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $78.4M to $81.3MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $6.7M to $4.4MMar 28, 2024 to Mar 27, 2025
- RAUM · $719M to $794MMar 28, 2024 to Mar 27, 2025
- Accounts · 606 to 421Mar 23, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Mar 23, 2023 to Mar 28, 2024
- BD registered reps · 8 to 9Mar 23, 2023 to Mar 28, 2024
- HNW clients · 10 to 11Mar 23, 2023 to Mar 28, 2024
- Individual clients · 589 to 403Mar 23, 2023 to Mar 28, 2024
- Employees · 13 to 14Mar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $653M to $719MMar 23, 2023 to Mar 28, 2024
- HNW RAUM · $61.9M to $78.4MMar 23, 2023 to Mar 28, 2024
- Individual RAUM · $18.4M to $6.7MMar 23, 2023 to Mar 28, 2024
- RAUM · $653M to $719MMar 23, 2023 to Mar 28, 2024
- Accounts · 865 to 606Sep 19, 2022 to Mar 22, 2023
- BD registered reps · 10 to 8Sep 19, 2022 to Mar 22, 2023
- HNW clients · 13 to 10Sep 19, 2022 to Mar 22, 2023
- Individual clients · 816 to 589Sep 19, 2022 to Mar 22, 2023
- Employees · 17 to 13Sep 19, 2022 to Mar 22, 2023
- Discretionary RAUM · $805M to $653MSep 19, 2022 to Mar 22, 2023
- HNW RAUM · $76.5M to $61.9MSep 19, 2022 to Mar 22, 2023
- Individual RAUM · $28.5M to $18.4MSep 19, 2022 to Mar 22, 2023
- RAUM · $805M to $653MSep 19, 2022 to Mar 22, 2023
- Accounts · 1,162 to 865Jan 3, 2022 to Mar 31, 2022
- Charity clients · 0.0 to unsetJan 3, 2022 to Mar 31, 2022
Signals
7 dated events
- Marcel Jack Quillin (Chief Compliance Officer) no longer on Schedule A of Icon Advisers, Inc. (listed 2021-12-03, absent 2022-01-03)Jan 3, 2022 · Control person left · inference
- David Brian Harding (Chief Financial Officer) no longer on Schedule A of Icon Advisers, Inc. (listed 2020-08-07, absent 2020-10-09)Oct 9, 2020 · Control person left · inference
- Richard Christopher Ambruso (General Counsel) no longer on Schedule A of Icon Advisers, Inc. (listed 2020-08-07, absent 2020-10-09)Oct 9, 2020 · Control person left · inference
- Icon Advisers, Inc. reported RAUM $1.4B, down 30% from $2.1B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Donald Salcito (Executive Vice President & General Counsel) no longer on Schedule A of Icon Advisers, Inc. (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Marcel Jack Quillin (Chief Compliance Officer) appeared on Schedule A of Icon Advisers, Inc.Mar 29, 2019 · Control person joined · fact
- Icon Advisers, Inc. reported 7 state-registered advisory representatives, down from 21 (2017-06-27 to 2018-03-29)Mar 29, 2018 · Advisor headcount change · derived
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
- Firm profile
- LINKEDIN.COM/COMPANY/ICON-ADVISERSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ICONFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-790-1600reportedpublic record, Form ADV, May 26, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $292Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026