DFX Intelligence

RIA Intelligence

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SEC-registered adviser

F•••••••• N•••••• S••••••••• L••

Independent wealth managerCRD 109037SEC 801-132100IAPD
Latest filing Feb 4, 2026
First filing on the tape Jan 30, 2012 · 4 filings
SEC status approved since Mar 10, 2025
RAUM
$130M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$130M as of Feb 4, 2026
Jan 30, 2012$55.0M then
HNW client RAUM$130M as of Feb 4, 2026
Mar 4, 2025$115M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Jan 30, 20120 then
Employees (5.A)1 as of Feb 4, 2026
Mar 4, 20251 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$920,375derivedRAUM over accounts (5.F.2.f)
Discretionary
84%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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
fixed feesreportedItem 5.E
Advisory activities
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
  • High-net-worth individuals$130M100%
Individual clients
n/areported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
141reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
      • M•••••• M•••••••• D•• · President/Chief Compliance Officercontrol
        since 05/1997 · owns 50% to 75%
      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
      • Accounts · 120 to 141
        Mar 4, 2025 to Feb 4, 2026
      • HNW clients · 35 to 36
        Mar 4, 2025 to Feb 4, 2026
      • Discretionary RAUM · $99.4M to $109M
        Mar 4, 2025 to Feb 4, 2026
      • HNW RAUM · $115M to $130M
        Mar 4, 2025 to Feb 4, 2026
      • Non-discretionary RAUM · $15.8M to $21.0M
        Mar 4, 2025 to Feb 4, 2026
      • RAUM · $115M to $130M
        Mar 4, 2025 to Feb 4, 2026
      • Accounts · 300 to 120
        Mar 8, 2012 to Mar 4, 2025
      • Advisory employees · unset to 1.0
        Mar 8, 2012 to Mar 4, 2025
      • Advisory activities · 2 to 1
        Mar 8, 2012 to Mar 4, 2025
      • HNW clients · unset to 35.0
        Mar 8, 2012 to Mar 4, 2025
      • Employees · unset to 1.0
        Mar 8, 2012 to Mar 4, 2025
      • Financial planning clients · 51-100 to
        Mar 8, 2012 to Mar 4, 2025
      • HQ city · GREENWOOD VILLAGE to
        Mar 8, 2012 to Mar 4, 2025
      • HQ state · CO to
        Mar 8, 2012 to Mar 4, 2025
      • State-registered IARs · 0 to 1
        Mar 8, 2012 to Mar 4, 2025
      • Other offices · unset to 0.0
        Mar 8, 2012 to Mar 4, 2025
      • Discretionary RAUM · $55.0M to $99.4M
        Mar 8, 2012 to Mar 4, 2025
      • HNW RAUM · unset to 115174403.0
        Mar 8, 2012 to Mar 4, 2025
      • Non-discretionary RAUM · $0 to $15.8M
        Mar 8, 2012 to Mar 4, 2025
      • RAUM · $55.0M to $115M
        Mar 8, 2012 to Mar 4, 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
      Principal office phone
      303-520-5187reportedpublic record, Form ADV, Feb 4, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026