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
Schaefer Financial Management, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 19, 2012 · 18 filings
SEC status approved since Apr 12, 1989
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of Mar 26, 2026
Mar 19, 2012$378M then
HNW client RAUM$1.0B as of Mar 26, 2026
Mar 13, 2018$521M then
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Mar 19, 20120 then
Employees (5.A)9 as of Mar 26, 2026
Mar 13, 20138 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 26, 2026; 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
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $627,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B91%
- Individuals$95.5M8.6%
- Individual clients
- 213reported
- HNW clients
- 233reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,776reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Alan SchaeferCertified Financial Planner | Englewood, Co | Jan 1, 1999 | 42 y | 0 |
| Andrea Noelle SearleCertified Financial Planner | Centennial, Co | Mar 24, 2005 | 30 y | 0 |
| Lowell Clinton HansenCertified Financial Planner | Englewood, Co | Feb 2, 2007 | 29 y | 0 |
| Kirsten Shonstrom HollanderCertified Financial Planner | Centennial, Co | Feb 15, 2007 | 29 y | 2 |
| Rebecca A AardalCertified Financial Planner | Centennial, Co | Feb 20, 2008 | 23 y | 0 |
| Henry J SchaeferCertified Financial Planner | Centennial, Co | May 25, 2022 | 10 y | 0 |
| Gavin ForrestCertified Financial Planner | Centennial, Co | Apr 30, 2025 | 11 y | 0 |
| James Lawrence Owsley | Centennial, Co | Jun 9, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- Jerome Philippe Perkins to Beacon Global Advisor Network, LLCAug 8, 2025 · RIA to RIA
Joined, latest
- Kirsten Shonstrom Hollander from Financially Speaking IncFeb 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Jeffrey Schaefer · President, Chairman, Sole Shareholdercontrolsince 07/2001 · owns 75% or more
- A Rebecca Aardal · Chief Compliance Officersince 01/2022 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centennial, Co · principal | 6 | 1 | 0 | ||
| Englewood, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 99% (1360 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,360) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,810 to 1,776Mar 30, 2025 to Mar 26, 2026
- HNW clients · 218 to 233Mar 30, 2025 to Mar 26, 2026
- Individual clients · 233 to 213Mar 30, 2025 to Mar 26, 2026
- HNW RAUM · $877M to $1.0BMar 30, 2025 to Mar 26, 2026
- Individual RAUM · $102M to $95.5MMar 30, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $979M to $1.1BMar 30, 2025 to Mar 26, 2026
- RAUM · $979M to $1.1BMar 30, 2025 to Mar 26, 2026
- Accounts · 1,748 to 1,810Mar 29, 2024 to Mar 30, 2025
- HNW clients · 200 to 218Mar 29, 2024 to Mar 30, 2025
- Individual clients · 214 to 233Mar 29, 2024 to Mar 30, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 30, 2025
- HNW RAUM · $791M to $877MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $97.1M to $102MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $888M to $979MMar 29, 2024 to Mar 30, 2025
- RAUM · $888M to $979MMar 29, 2024 to Mar 30, 2025
- Accounts · 1,974 to 1,748Mar 29, 2023 to Mar 29, 2024
- HNW clients · 183 to 200Mar 29, 2023 to Mar 29, 2024
- Individual clients · 228 to 214Mar 29, 2023 to Mar 29, 2024
- Employees · 8 to 9Mar 29, 2023 to Mar 29, 2024
- HNW RAUM · $639M to $791MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $104M to $97.1MMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $743M to $888MMar 29, 2023 to Mar 29, 2024
- RAUM · $743M to $888MMar 29, 2023 to Mar 29, 2024
- Accounts · 1,786 to 1,974Jun 8, 2022 to Mar 29, 2023
- HNW clients · 162 to 183Jun 8, 2022 to Mar 29, 2023
- Individual clients · 146 to 228Jun 8, 2022 to Mar 29, 2023
- Employees · 9 to 8Jun 8, 2022 to Mar 29, 2023
- HNW RAUM · $685M to $639MJun 8, 2022 to Mar 29, 2023
- Individual RAUM · $75.3M to $104MJun 8, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $760M to $743MJun 8, 2022 to Mar 29, 2023
- RAUM · $760M to $743MJun 8, 2022 to Mar 29, 2023
- Accounts · 1,668 to 1,786Mar 23, 2021 to Mar 31, 2022
- Advisory employees · 6 to 7Mar 23, 2021 to Mar 31, 2022
- State-registered IARs · 6 to 7Mar 23, 2021 to Mar 31, 2022
- HNW RAUM · $586M to $685MMar 23, 2021 to Mar 31, 2022
- Individual RAUM · $86.4M to $75.3MMar 23, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $673M to $760MMar 23, 2021 to Mar 31, 2022
- RAUM · $673M to $760MMar 23, 2021 to Mar 31, 2022
- Wrap assets (manager) · 0.0 to unsetMar 23, 2021 to Mar 31, 2022
- Wrap assets (sponsor) · 0.0 to unsetMar 23, 2021 to Mar 31, 2022
Signals
2 dated events
- Jerome Philippe Perkins left Schaefer Financial Management, Inc. for Beacon Global Advisor Network, Llc (registered 2025-08-21)Aug 8, 2025 · Advisor changed firm · fact
- Ray Kenneth Schaefer (Chief Compliance Officer) no longer on Schedule A of Schaefer Financial Management, Inc. (listed 2021-03-23, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
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
- Business email
- dawn_johnson@schaeferfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- olivia_wiley@schaeferfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-770-1041reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-770-6700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/70873060/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SCHAEFERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-770-6700reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- schaeferfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- schaeferfinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026