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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Former SEC-registered adviser
A•• S••••• F•••••••• A•••••••• I•••
Latest filing Mar 4, 2024
First filing on the tape Mar 23, 2012 · 19 filings
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$163M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
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$164M as of Mar 4, 2024
Mar 23, 2012$111M then
HNW client RAUM$108M as of Mar 4, 2024
Mar 28, 2018$121M then
State-registered IARs (5.B.3)1 as of Mar 4, 2024
Mar 18, 20131 then
Employees (5.A)4 as of Mar 4, 2024
Mar 18, 20135 then
Private funds: no history
RAUM -4.8% over the last fiscal year-7.1% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 4, 2024; every figure names its basis
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $257,074derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$108M66%
- Individuals$54.9M33%
- Corporations and businesses$1.4M0.8%
- Individual clients
- 134reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 639reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- S••••• F••••••• J•••• to A•••••••• C•••••• L••Dec 9, 2024 · RIA to RIA
- W•••••• M•••••• B•••••• to P••• H••• F•••••••• P••••••• • I••••••••• M••••••••• L••Jul 10, 2023 · RIA to a state-registered adviser
Joined, latest
- W•••••• M•••••• B•••••• from S••••••• C•••••• M••••••••• I•••Jan 29, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• S•••••• F••••••• · President / Chief Compliance Officercontrolsince 11/1995 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 725 to 639Oct 4, 2023 to Mar 4, 2024
- Advisory employees · 2 to 1Oct 4, 2023 to Mar 4, 2024
- HNW clients · 49 to 46Oct 4, 2023 to Mar 4, 2024
- Individual clients · 149 to 134Oct 4, 2023 to Mar 4, 2024
- Financial planning clients · 101-250 to 26-50Oct 4, 2023 to Mar 4, 2024
- State-registered IARs · 2 to 1Oct 4, 2023 to Mar 4, 2024
- Discretionary RAUM · $173M to $164MOct 4, 2023 to Mar 4, 2024
- HNW RAUM · $112M to $108MOct 4, 2023 to Mar 4, 2024
- Individual RAUM · $60.0M to $54.9MOct 4, 2023 to Mar 4, 2024
- RAUM · $173M to $164MOct 4, 2023 to Mar 4, 2024
- Accounts · 711 to 725Feb 20, 2023 to Mar 28, 2023
- Corporate clients · 0 to 2Feb 20, 2023 to Mar 28, 2023
- HNW clients · 58 to 49Feb 20, 2023 to Mar 28, 2023
- Individual clients · 125 to 149Feb 20, 2023 to Mar 28, 2023
- Financial planning clients · 51-100 to 101-250Feb 20, 2023 to Mar 28, 2023
- Discretionary RAUM · $197M to $173MFeb 20, 2023 to Mar 28, 2023
- HNW RAUM · $145M to $112MFeb 20, 2023 to Mar 28, 2023
- Individual RAUM · $50.9M to $60.0MFeb 20, 2023 to Mar 28, 2023
- RAUM · $197M to $173MFeb 20, 2023 to Mar 28, 2023
- Accounts · 748 to 711Oct 14, 2021 to Feb 11, 2022
- HNW clients · 71 to 58Oct 14, 2021 to Feb 11, 2022
- Individual clients · 131 to 125Oct 14, 2021 to Feb 11, 2022
- Employees · 5 to 4Oct 14, 2021 to Feb 11, 2022
- Financial planning clients · 26-50 to 51-100Oct 14, 2021 to Feb 11, 2022
- State-registered IARs · 1 to 2Oct 14, 2021 to Feb 11, 2022
- Discretionary RAUM · $205M to $197MOct 14, 2021 to Feb 11, 2022
- HNW RAUM · $154M to $145MOct 14, 2021 to Feb 11, 2022
- Individual RAUM · $49.8M to $50.9MOct 14, 2021 to Feb 11, 2022
- RAUM · $205M to $197MOct 14, 2021 to Feb 11, 2022
- Advisory activities · 2 to 3Mar 31, 2021 to Oct 14, 2021
- Accounts · 789 to 748Jun 19, 2020 to Mar 31, 2021
- HNW clients · 65 to 71Jun 19, 2020 to Mar 31, 2021
- Individual clients · 134 to 131Jun 19, 2020 to Mar 31, 2021
- Employees · 6 to 5Jun 19, 2020 to Mar 31, 2021
- Discretionary RAUM · $193M to $205MJun 19, 2020 to Mar 31, 2021
- HNW RAUM · $147M to $154MJun 19, 2020 to Mar 31, 2021
- Individual RAUM · $48.1M to $49.8MJun 19, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $2.8M to $0Jun 19, 2020 to Mar 31, 2021
- RAUM · $196M to $205MJun 19, 2020 to Mar 31, 2021
- Accounts · 754 to 789Nov 27, 2019 to Mar 31, 2020
Signals
2 dated events
- S••••• F••••••• J•••• left A•• S••••• F•••••••• A•••••••• I••• for A•••••••• C•••••• L•• (registered 2024-10-16)Dec 9, 2024 · Advisor changed firm · fact
- W•••••• M•••••• B•••••• left A•• S••••• F•••••••• A•••••••• I••• for P••• H••• F•••••••• P••••••• • I••••••••• M••••••••• L•• (registered 2023-07-25)Jul 10, 2023 · Advisor changed firm · fact
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