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••••••••• C•••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Apr 11, 2012 · 19 filings
SEC status approved since Dec 3, 1999
RAUM
$605M
reported, Item 5.F
Discretionary
6.3%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$605M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$605M as of Mar 27, 2026
Apr 11, 2012$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Apr 11, 20120 then
Employees (5.A)2 as of Mar 27, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +3.6% over the last fiscal year+8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $605MderivedRAUM 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
- $60.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.3%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$605M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••••• M•••• | Petoskey, Mi | Mar 3, 2025 | 39 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••••• J••••• · President/Ceo/Chief Compliance Officercontrolsince 10/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $41.0M to $38.0MJun 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $543M to $567MJun 27, 2025 to Mar 27, 2026
- RAUM · $584M to $605MJun 27, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 27, 2025
- Accounts · 12 to 10Mar 19, 2024 to Mar 31, 2025
- HQ city · unset to Mar 19, 2024 to Mar 31, 2025
- HQ state · unset to Mar 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $39.0M to $41.0MMar 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $458M to $543MMar 19, 2024 to Mar 31, 2025
- RAUM · $497M to $584MMar 19, 2024 to Mar 31, 2025
- Accounts · 14 to 12Mar 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $41.0M to $39.0MMar 1, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $431M to $458MMar 1, 2023 to Mar 19, 2024
- RAUM · $472M to $497MMar 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $46.0M to $41.0MNov 21, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $401M to $431MNov 21, 2022 to Mar 1, 2023
- RAUM · $447M to $472MNov 21, 2022 to Mar 1, 2023
- HQ city · LAFAYETTE to unsetFeb 17, 2022 to Nov 11, 2022
- HQ state · CO to unsetFeb 17, 2022 to Nov 11, 2022
- Discretionary RAUM · $81.0M to $46.0MFeb 17, 2022 to Nov 11, 2022
- Non-discretionary RAUM · $385M to $401MFeb 17, 2022 to Nov 11, 2022
- RAUM · $466M to $447MFeb 17, 2022 to Nov 11, 2022
- Accounts · 13 to 14Mar 30, 2021 to Feb 17, 2022
- Discretionary RAUM · $200M to $81.0MMar 30, 2021 to Feb 17, 2022
- Non-discretionary RAUM · $210M to $385MMar 30, 2021 to Feb 17, 2022
- RAUM · $410M to $466MMar 30, 2021 to Feb 17, 2022
- Accounts · 14 to 13Mar 10, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $274M to $210MMar 10, 2020 to Mar 30, 2021
- RAUM · $474M to $410MMar 10, 2020 to Mar 30, 2021
- Accounts · 13 to 14Mar 29, 2019 to Mar 10, 2020
- Discretionary RAUM · $206M to $200MMar 29, 2019 to Mar 10, 2020
- Non-discretionary RAUM · $282M to $274MMar 29, 2019 to Mar 10, 2020
- RAUM · $488M to $474MMar 29, 2019 to Mar 10, 2020
- Accounts · 14 to 13Jan 2, 2018 to Mar 29, 2019
- Employees · 3 to 2Jan 2, 2018 to Mar 29, 2019
- Discretionary RAUM · $206M to $206MJan 2, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $249M to $282MJan 2, 2018 to Mar 29, 2019
- RAUM · $455M to $488MJan 2, 2018 to Mar 29, 2019
- Accounts · 15 to 14Mar 27, 2017 to Jan 2, 2018
- Employees · 2 to 3Mar 27, 2017 to Jan 2, 2018
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
- w••.t•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-579-9595reportedpublic record, Form ADV, Mar 27, 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
- I••••••••• MANAGERderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $605Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026