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RIA Intelligence

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F•••••••• M••••••• I••

Independent wealth managerSEC-registered· Boulder, Coloradowebsite

Independent wealth manager, based in Boulder, Colorado, reporting $111M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$111M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $111M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 108489 · SEC 801-135216 · 3 filingsShow
CRD 108489SEC 801-135216First filing on the tape Mar 28, 2012, latest Dec 22, 2025SEC status approved since Jan 22, 2026IAPD
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$111M as of Dec 22, 2025
Mar 28, 2012$58.0M then
HNW client RAUM: $34.3M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 22, 2025; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$55.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$928,027derivedHNW RAUM over HNW clients
Average account
$247,967derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$77.0M69%
  • High-net-worth individuals$34.3M31%
Individual clients
90reported
HNW clients
37reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
449reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••• M•••••••Boulder, CoMay 20, 202519 y1
R••••• D•••• Z••••••Certified Financial PlannerBoulder, CoDec 1, 202534 y1
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Z••••••• R•••••• D•••• · President/Chief Compliance Officer/Secretarycontrol
        since 12/1991 · owns 75% or more
      • D•••••• M•••••••• A•••••• · Secretary
        since 12/2009 · 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
      Boulder, Co · principal210
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • compensation changedChange between filings · filing Dec 22, 2025
        hourly charges (Item 5.E.2): yes on the filing of 2012-03-28, no on the filing of 2025-12-22
        peers: independent wealth managers, $100M to $500M (5,679)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 579 to 449
        Mar 28, 2012 to Dec 22, 2025
      • Advisory employees · unset to 2.0
        Mar 28, 2012 to Dec 22, 2025
      • HNW clients · unset to 37.0
        Mar 28, 2012 to Dec 22, 2025
      • Individual clients · unset to 90.0
        Mar 28, 2012 to Dec 22, 2025
      • Employees · unset to 2.0
        Mar 28, 2012 to Dec 22, 2025
      • Financial planning clients · 101-250 to 0
        Mar 28, 2012 to Dec 22, 2025
      • State-registered IARs · unset to 2.0
        Mar 28, 2012 to Dec 22, 2025
      • Other offices · unset to 0.0
        Mar 28, 2012 to Dec 22, 2025
      • Discretionary RAUM · $51.0M to $111M
        Mar 28, 2012 to Dec 22, 2025
      • HNW RAUM · unset to 34337000.0
        Mar 28, 2012 to Dec 22, 2025
      • Individual RAUM · unset to 77000000.0
        Mar 28, 2012 to Dec 22, 2025
      • Non-discretionary RAUM · $7.0M to $0
        Mar 28, 2012 to Dec 22, 2025
      • RAUM · $58.0M to $111M
        Mar 28, 2012 to Dec 22, 2025
      Signals
      No event on the tape.
      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
      ••• Lockedreportedpublic record, Form ADV, Dec 22, 2025
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Dec 22, 2025
      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
      $55.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026