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
F•••••••• S•••••• A••••••••• L••
Latest filing Feb 26, 2024
First filing on the tape Aug 15, 2022 · 4 filings
SEC status approved since Sep 15, 2022
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$214M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.7M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$218M as of Feb 26, 2024
Feb 22, 2023$196M then
HNW client RAUM$179M as of Feb 26, 2024
Feb 22, 2023$144M then
State-registered IARs (5.B.3)4 as of Feb 26, 2024
Feb 22, 20234 then
Employees (5.A)7 as of Feb 26, 2024
Feb 22, 20237 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 26, 2024; every figure names its basis
- RAUM per advisor
- $72.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $972,985derivedHNW RAUM over HNW clients
- Average account
- $371,453derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $560,000, 1 clientsreportedItem 9.A
- 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)
- 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$179M82%
- Individuals$34.9M16%
- Pension and profit-sharing plans$2.4M1.1%
- Charitable organizations$1.7M0.8%
- Individual clients
- 160reported
- HNW clients
- 184reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 587reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $560,000 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• P••••• S••••••Certified Financial Planner | Boulder, Co | Apr 20, 2001 | 29 y | 0 |
| H•••••• A•• W•••••••Certified Financial Planner | Boulder, Co | Jan 16, 2017 | 13 y | 0 |
| S••••• P••••• S••••Certified Financial Planner | Boulder, Co | Oct 22, 2024 | 13 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 headcount2 left over 36 months
Left, latest
- N•• M•••••• M••••• to L•• F•••••••• L••Aug 21, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• A••••• B•••••• to L•• F•••••••• L••Apr 3, 2025 · RIA to affiliated broker-dealer or bank
- P•••••• K••••• S•••• to S•••• A•••••••• L••Jan 19, 2018 · Other
Joined, latest
- N•• M•••••• M••••• from C••• F•••••••• S•••••••• L•••Nov 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••••• B•••••• from E••••• J••••Apr 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- P•••••• K••••• S•••• from L•• F•••••••• L••Oct 2, 2015 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M•••••• P••••• · Managing Member, Ccocontrolsince 01/2001 · 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 |
|---|---|---|---|---|---|
| Boulder, Co · principal | 3 | 0 | 0 | ||
| Fort Collins, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 586 to 587Apr 3, 2023 to Feb 26, 2024
- HNW clients · 84 to 184Apr 3, 2023 to Feb 26, 2024
- Individual clients · 187 to 160Apr 3, 2023 to Feb 26, 2024
- Assets in custody · $275,123 to $560,000Apr 3, 2023 to Feb 26, 2024
- Financial planning clients · 11-25 to 1-10Apr 3, 2023 to Feb 26, 2024
- Discretionary RAUM · $196M to $218MApr 3, 2023 to Feb 26, 2024
- HNW RAUM · $144M to $179MApr 3, 2023 to Feb 26, 2024
- Individual RAUM · $48.8M to $34.9MApr 3, 2023 to Feb 26, 2024
- Pension RAUM · unset to 2389122.0Apr 3, 2023 to Feb 26, 2024
- RAUM · $196M to $218MApr 3, 2023 to Feb 26, 2024
- Assets in custody · $58,044 to $275,123Feb 22, 2023 to Apr 3, 2023
- BD registered reps · 4 to 3Aug 15, 2022 to Feb 22, 2023
- Accounts · 305 to 586Aug 15, 2022 to Feb 22, 2023
- Advisory employees · 3 to 4Aug 15, 2022 to Feb 22, 2023
- HNW clients · 62 to 84Aug 15, 2022 to Feb 22, 2023
- Individual clients · 240 to 187Aug 15, 2022 to Feb 22, 2023
- Assets in custody · $1.7M to $58,044Aug 15, 2022 to Feb 22, 2023
- Employees · 8 to 7Aug 15, 2022 to Feb 22, 2023
- Insurance-licensed employees · 3 to 0Aug 15, 2022 to Feb 22, 2023
- Financial planning clients · 101-250 to 11-25Aug 15, 2022 to Feb 22, 2023
- State-registered IARs · 3 to 4Aug 15, 2022 to Feb 22, 2023
- Discretionary RAUM · $195M to $196MAug 15, 2022 to Feb 22, 2023
- HNW RAUM · $117M to $144MAug 15, 2022 to Feb 22, 2023
- Individual RAUM · $76.9M to $48.8MAug 15, 2022 to Feb 22, 2023
- RAUM · $195M to $196MAug 15, 2022 to Feb 22, 2023
Signals
4 dated events
- N•• M•••••• M••••• left F•••••••• S•••••• A••••••••• L•• for L•• F•••••••• L•• (registered 2025-03-31)Aug 21, 2025 · Advisor changed firm · fact
- F•••••••• S•••••• A••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $218.0M)May 2, 2025 · Left the SEC roster · derived
- M•••••• A••••• B•••••• left F•••••••• S•••••• A••••••••• L•• for L•• F•••••••• L•• (registered 2025-03-31)Apr 3, 2025 · Advisor changed firm · fact
- F•••••••• S•••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2022 · First SEC registration · fact
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
- FINANCIALS••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026