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

F•••••• F•••• M••••••••• C•

Asset manager (funds and pooled vehicles)Denver, ColoradoCRD 110785SEC 801-28640websiteIAPD
Latest filing Dec 2, 2025
First filing on the tape Dec 22, 2011 · 17 filings
SEC status approved since Jan 16, 1987
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.9B
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.9B as of Dec 2, 2025
Dec 22, 2011$792M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Dec 2, 2025
Dec 22, 20110 then
Employees (5.A)9 as of Dec 2, 2025
Dec 21, 20126 then
Private funds: no history
RAUM +15% over the last fiscal year+2.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 2, 2025; 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
$1.9BderivedRAUM 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
$1.9BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • Investment companies$1.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
F••• R••• K••••Denver, CoJan 1, 199943 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• F•••• R••• · President / Chief Compliance Officercontrol
        since 12/1990 · owns less than 5%
      • K••••• F•••• R••• · Shareholdercontrol
        since 11/1994 · owns 50% to 75% of Carbon County Holding Company
      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
      • Employees · 8 to 9
        Dec 2, 2024 to Dec 2, 2025
      • Financial planning clients · 0 to 0
        Dec 2, 2024 to Dec 2, 2025
      • Discretionary RAUM · $1.8B to $1.9B
        Dec 2, 2024 to Dec 2, 2025
      • RAUM · $1.8B to $1.9B
        Dec 2, 2024 to Dec 2, 2025
      • Discretionary RAUM · $1.7B to $1.8B
        Nov 28, 2023 to Dec 2, 2024
      • RAUM · $1.7B to $1.8B
        Nov 28, 2023 to Dec 2, 2024
      • Employees · 7 to 8
        Dec 5, 2022 to Nov 28, 2023
      • Discretionary RAUM · $1.7B to $1.7B
        Dec 5, 2022 to Nov 28, 2023
      • RAUM · $1.7B to $1.7B
        Dec 5, 2022 to Nov 28, 2023
      • Discretionary RAUM · $1.8B to $1.7B
        Dec 10, 2021 to Dec 5, 2022
      • RAUM · $1.8B to $1.7B
        Dec 10, 2021 to Dec 5, 2022
      • Discretionary RAUM · $1.5B to $1.8B
        Jan 5, 2021 to Dec 10, 2021
      • RAUM · $1.5B to $1.8B
        Jan 5, 2021 to Dec 10, 2021
      • Advisory employees · 2 to 3
        Dec 16, 2019 to Jan 5, 2021
      • BD registered reps · 2 to 3
        Dec 16, 2019 to Jan 5, 2021
      • Employees · 6 to 7
        Dec 16, 2019 to Jan 5, 2021
      • State-registered IARs · 2 to 3
        Dec 16, 2019 to Jan 5, 2021
      • Discretionary RAUM · $1.4B to $1.5B
        Dec 16, 2019 to Jan 5, 2021
      • RAUM · $1.4B to $1.5B
        Dec 16, 2019 to Jan 5, 2021
      • Employees · 5 to 6
        Dec 20, 2018 to Dec 16, 2019
      • Discretionary RAUM · $1.3B to $1.4B
        Dec 20, 2018 to Dec 16, 2019
      • RAUM · $1.3B to $1.4B
        Dec 20, 2018 to Dec 16, 2019
      • Discretionary RAUM · $1.1B to $1.3B
        Dec 20, 2017 to Dec 20, 2018
      • RAUM · $1.1B to $1.3B
        Dec 20, 2017 to Dec 20, 2018
      • BD registered reps · 3 to 2
        Dec 23, 2016 to Dec 20, 2017
      • Other offices · unset to 0.0
        Dec 23, 2016 to Dec 20, 2017
      • Discretionary RAUM · $1.1B to $1.1B
        Dec 23, 2016 to Dec 20, 2017
      • RAUM · $1.1B to $1.1B
        Dec 23, 2016 to Dec 20, 2017
      • Advisory employees · 1 to 2
        Dec 24, 2015 to Dec 23, 2016
      • Discretionary RAUM · $938M to $1.1B
        Dec 24, 2015 to Dec 23, 2016
      • RAUM · $938M to $1.1B
        Dec 24, 2015 to Dec 23, 2016
      • Discretionary RAUM · $906M to $938M
        Dec 26, 2014 to Dec 24, 2015
      • RAUM · $906M to $938M
        Dec 26, 2014 to Dec 24, 2015
      • Employees · 6 to 5
        Dec 26, 2013 to Dec 26, 2014
      • Discretionary RAUM · $871M to $906M
        Dec 26, 2013 to Dec 26, 2014
      • RAUM · $871M to $906M
        Dec 26, 2013 to Dec 26, 2014
      • Discretionary RAUM · $891M to $871M
        Dec 21, 2012 to Dec 26, 2013
      • RAUM · $891M to $871M
        Dec 21, 2012 to Dec 26, 2013
      • Advisory employees · unset to 1.0
        Apr 10, 2012 to Dec 21, 2012
      • BD registered reps · unset to 3.0
        Apr 10, 2012 to Dec 21, 2012
      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
      c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      303-572-6990reportedpublic record, Form ADV, Dec 2, 2025
      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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      $1.9Bderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026