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

Rainsberger Wealth Advisors

Former SEC-registered adviserColorado Springs, ColoradoCRD 108325SEC 801-38096IAPD
Legal name Rainsberger Wealth Advisors, Inc.
Latest filing Mar 13, 2024
First filing on the tape Mar 29, 2012 · 24 filings
RAUM
$356M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$354M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$356M as of Mar 13, 2024
Mar 29, 2012$97.0M then
HNW client RAUM$313M as of Mar 13, 2024
Mar 30, 2018$150M then
State-registered IARs (5.B.3)4 as of Mar 13, 2024
Mar 29, 20120 then
Employees (5.A)8 as of Mar 13, 2024
Apr 4, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
RAUM per advisor
$88.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$362,972derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminars, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$313M88%
  • Individuals$41.6M12%
  • Pension and profit-sharing plans$1.6M0.4%
Individual clients
190reported
HNW clients
92reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
980reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • Dwight Ellis Rainsberger · Presidentcontrol
      since 03/2009 · owns 75% or more
    • Dawn Malinda Sutton · Cco
      since 08/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Colorado Springs, Co · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,004 to 980
      Aug 9, 2023 to Mar 13, 2024
    • HNW clients · 89 to 92
      Aug 9, 2023 to Mar 13, 2024
    • Individual clients · 183 to 190
      Aug 9, 2023 to Mar 13, 2024
    • Pension plan clients · 0 to 1
      Aug 9, 2023 to Mar 13, 2024
    • State-registered IARs · 3 to 4
      Aug 9, 2023 to Mar 13, 2024
    • Discretionary RAUM · $287M to $333M
      Aug 9, 2023 to Mar 13, 2024
    • HNW RAUM · $264M to $313M
      Aug 9, 2023 to Mar 13, 2024
    • Individual RAUM · $38.1M to $41.6M
      Aug 9, 2023 to Mar 13, 2024
    • Non-discretionary RAUM · $15.8M to $22.7M
      Aug 9, 2023 to Mar 13, 2024
    • Pension RAUM · $0 to $1.6M
      Aug 9, 2023 to Mar 13, 2024
    • RAUM · $303M to $356M
      Aug 9, 2023 to Mar 13, 2024
    • Advisory employees · 3 to 4
      Mar 21, 2023 to Aug 9, 2023
    • Employees · 7 to 8
      Mar 21, 2023 to Aug 9, 2023
    • State-registered IARs · 2 to 3
      Mar 21, 2023 to Aug 9, 2023
    • Accounts · 890 to 1,004
      Dec 1, 2022 to Mar 21, 2023
    • HNW clients · 84 to 89
      Dec 1, 2022 to Mar 21, 2023
    • Individual clients · 150 to 183
      Dec 1, 2022 to Mar 21, 2023
    • Financial planning clients · 101-250 to 51-100
      Dec 1, 2022 to Mar 21, 2023
    • Discretionary RAUM · $288M to $287M
      Dec 1, 2022 to Mar 21, 2023
    • HNW RAUM · $267M to $264M
      Dec 1, 2022 to Mar 21, 2023
    • Individual RAUM · $40.6M to $38.1M
      Dec 1, 2022 to Mar 21, 2023
    • Non-discretionary RAUM · $20.0M to $15.8M
      Dec 1, 2022 to Mar 21, 2023
    • RAUM · $308M to $303M
      Dec 1, 2022 to Mar 21, 2023
    • Advisory employees · 2 to 3
      Mar 16, 2022 to Dec 1, 2022
    • Employees · 6 to 7
      Mar 16, 2022 to Dec 1, 2022
    • State-registered IARs · 1 to 2
      Mar 16, 2022 to Dec 1, 2022
    • Accounts · 794 to 890
      Jun 22, 2021 to Mar 16, 2022
    • HNW clients · 75 to 84
      Jun 22, 2021 to Mar 16, 2022
    • Individual clients · 136 to 150
      Jun 22, 2021 to Mar 16, 2022
    • Financial planning clients · 51-100 to 101-250
      Jun 22, 2021 to Mar 16, 2022
    • Discretionary RAUM · $231M to $288M
      Jun 22, 2021 to Mar 16, 2022
    • HNW RAUM · $209M to $267M
      Jun 22, 2021 to Mar 16, 2022
    • Individual RAUM · $39.1M to $40.6M
      Jun 22, 2021 to Mar 16, 2022
    • Non-discretionary RAUM · $17.5M to $20.0M
      Jun 22, 2021 to Mar 16, 2022
    • RAUM · $248M to $308M
      Jun 22, 2021 to Mar 16, 2022
    • Advisory employees · 4 to 2
      Mar 26, 2021 to Jun 22, 2021
    • Accounts · 726 to 794
      Feb 19, 2021 to Mar 26, 2021
    • HNW clients · 66 to 75
      Feb 19, 2021 to Mar 26, 2021
    • Individual clients · 132 to 136
      Feb 19, 2021 to Mar 26, 2021
    • Discretionary RAUM · $194M to $231M
      Feb 19, 2021 to Mar 26, 2021
    Signals
    5 dated events
    • Malinda Dawn Sutton left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-20)
      Apr 2, 2024 · Advisor changed firm · fact
    • Brett Michael Brownfield left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-16)
      Apr 2, 2024 · Advisor changed firm · fact
    • Ellis Dwight Rainsberger left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-17)
      Apr 2, 2024 · Advisor changed firm · fact
    • Erik James Aspelin left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-16)
      Apr 2, 2024 · Advisor changed firm · fact
    • Rainsberger Wealth Advisors's advisors moved to Waverly Advisors, LLC (Colorado Springs, CO): 4 of 4 registered, on the same day
      Apr 2, 2024 · Firm absorbed (people side) · derived
    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