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.
Former SEC-registered adviser
Causey Demgen & Moore P.C.
Latest filing Sep 28, 2023
First filing on the tape Mar 20, 2012 · 19 filings
RAUM
$436M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
61%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
58
9 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$436M as of Sep 28, 2023
Sep 19, 2012$141M then
HNW client RAUM$250M as of Sep 28, 2023
Sep 28, 2018$203M then
State-registered IARs (5.B.3)0 as of Sep 28, 2023
Sep 19, 20120 then
Employees (5.A)58 as of Sep 28, 2023
Sep 13, 201345 then
Private funds: no history
RAUM +37% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $794,105derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $7.1M, 3 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$250M57%
- State and municipal entities$133M31%
- Charitable organizations$37.1M8.5%
- Individuals$15.4M3.5%
- Individual clients
- 38reported
- HNW clients
- 103reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 549reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.1M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Andrew Alexander Mathes to Causey Public FinanceSep 24, 2024 · Other
- Robb Andrew Stone to Causey Wealth LLCJul 1, 2024 · RIA to RIA
- Nathanael Adam Koch to Causey Wealth LLCJul 1, 2024 · RIA to RIA
Joined, latest
- Andrew Alexander Mathes from &PartnersMay 12, 2022 · RIA to RIA
- Robb Andrew Stone from Credit Suisse Securities (USA) LLCOct 7, 2014 · Other
- Nathanael Adam Koch from Pacific West Financial Consultants IncJul 13, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Causey Wealth LLCJul 1, 2024 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Heath Borer · Vice Presidentcontrolsince 07/2021 · owns less than 5%
- Lynn Jamey Camp-Cavanaugh · Vice Presidentcontrolsince 07/2017 · owns 5% to 10%
- Christian Michael Graef · Vice Presidentcontrolsince 07/2006 · owns 5% to 10%
- Michael Justin Greaser · Vice Presidentcontrolsince 07/2021 · owns less than 5%
- Adam Nathanael Koch · President & Chief Compliance Officercontrolsince 07/2018 · owns 5% to 10%
- Hanes William Vincent · Vice Presidentcontrolsince 07/1999 · owns 5% to 10%
- James Richard Fleischman · Vice Presidentsince 06/2019 · owns 5% to 10%
- Terri Robyn Schnetzler · Vice Presidentsince 07/2018 · owns 5% to 10%
- Andrew Robb Stone · Vice Presidentsince 07/2016 · owns less than 5%
- John Corey Zink · Vice Presidentsince 07/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Causey Demgen & Moore P.C. as a related person
- 332123 y
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 · 521 to 549Sep 26, 2022 to Sep 28, 2023
- Advisory employees · 6 to 9Sep 26, 2022 to Sep 28, 2023
- HNW clients · 86 to 103Sep 26, 2022 to Sep 28, 2023
- Individual clients · 26 to 38Sep 26, 2022 to Sep 28, 2023
- Assets in custody · $2.2M to $7.1MSep 26, 2022 to Sep 28, 2023
- Employees · 51 to 58Sep 26, 2022 to Sep 28, 2023
- Discretionary RAUM · $258M to $421MSep 26, 2022 to Sep 28, 2023
- HNW RAUM · $258M to $250MSep 26, 2022 to Sep 28, 2023
- Individual RAUM · $23.8M to $15.4MSep 26, 2022 to Sep 28, 2023
- Non-discretionary RAUM · $59.9M to $15.4MSep 26, 2022 to Sep 28, 2023
- RAUM · $318M to $436MSep 26, 2022 to Sep 28, 2023
- Accounts · 287 to 521Sep 30, 2021 to Sep 26, 2022
- HNW clients · 78 to 86Sep 30, 2021 to Sep 26, 2022
- Individual clients · 20 to 26Sep 30, 2021 to Sep 26, 2022
- Assets in custody · $1.1M to $2.2MSep 30, 2021 to Sep 26, 2022
- Employees · 47 to 51Sep 30, 2021 to Sep 26, 2022
- Discretionary RAUM · $248M to $258MSep 30, 2021 to Sep 26, 2022
- HNW RAUM · $248M to $258MSep 30, 2021 to Sep 26, 2022
- Individual RAUM · $18.8M to $23.8MSep 30, 2021 to Sep 26, 2022
- Non-discretionary RAUM · $57.1M to $59.9MSep 30, 2021 to Sep 26, 2022
- RAUM · $305M to $318MSep 30, 2021 to Sep 26, 2022
- Accounts · 401 to 287Sep 29, 2020 to Sep 30, 2021
- Advisory employees · 5 to 6Sep 29, 2020 to Sep 30, 2021
- HNW clients · 74 to 78Sep 29, 2020 to Sep 30, 2021
- Individual clients · 24 to 20Sep 29, 2020 to Sep 30, 2021
- Assets in custody · $1.1M to $1.1MSep 29, 2020 to Sep 30, 2021
- Employees · 46 to 47Sep 29, 2020 to Sep 30, 2021
- Discretionary RAUM · $216M to $248MSep 29, 2020 to Sep 30, 2021
- HNW RAUM · $216M to $248MSep 29, 2020 to Sep 30, 2021
- Individual RAUM · $6.4M to $18.8MSep 29, 2020 to Sep 30, 2021
- Non-discretionary RAUM · $37.8M to $57.1MSep 29, 2020 to Sep 30, 2021
- RAUM · $253M to $305MSep 29, 2020 to Sep 30, 2021
- Accounts · 329 to 401Jun 29, 2020 to Sep 29, 2020
- Charity clients · unset to 1.0Jun 29, 2020 to Sep 29, 2020
- HNW clients · 73 to 74Jun 29, 2020 to Sep 29, 2020
- Individual clients · 22 to 24Jun 29, 2020 to Sep 29, 2020
- Assets in custody · $1.5M to $1.1MJun 29, 2020 to Sep 29, 2020
- Discretionary RAUM · $214M to $216MJun 29, 2020 to Sep 29, 2020
- HNW RAUM · $214M to $216MJun 29, 2020 to Sep 29, 2020
- Individual RAUM · $6.2M to $6.4MJun 29, 2020 to Sep 29, 2020
Signals
14 dated events
- Andrew Alexander Mathes left Causey Demgen & Moore P.C. for Causey Public Finance (registered 2024-10-22)Sep 24, 2024 · Advisor changed firm · fact
- Nathanael Adam Koch left Causey Demgen & Moore P.C. for Causey Wealth Llc (registered 2024-07-03)Jul 1, 2024 · Advisor changed firm · fact
- Robb Andrew Stone left Causey Demgen & Moore P.C. for Causey Wealth Llc (registered 2024-07-01)Jul 1, 2024 · Advisor changed firm · fact
- 2 advisors left Causey Demgen & Moore P.C. (Denver, CO) for Causey Wealth LLC on the same dayJul 1, 2024 · Team lift-out · derived
- Causey Demgen & Moore P.C. reported RAUM $436.0M, up 37% from $317.7M (2022-09-26 to 2023-09-28)Sep 28, 2023 · RAUM change · derived
- Douglas William Glasso (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2022-09-26, absent 2023-09-28)Sep 28, 2023 · Control person left · inference
- Anne Lyle Martine (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2020-09-29, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
- Michael Justin Greaser (Vice President) appeared on Schedule A of Causey Demgen & Moore P.C.Sep 30, 2021 · Control person joined · fact
- Alan Heath Borer (Vice President) appeared on Schedule A of Causey Demgen & Moore P.C.Sep 30, 2021 · Control person joined · fact
- Lyndall Donn Aggeler (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2020-06-29, absent 2020-09-29)Sep 29, 2020 · Control person left · inference
- Edward Barry Koritza (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2019-06-24, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- Eugene Douglas Carlile (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2019-06-24, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- John Thomas Ruygrok (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2019-06-24, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- Cowan Cheryl Walton (Vice President) no longer on Schedule A of Causey Demgen & Moore P.C. (listed 2019-06-24, absent 2019-09-30)Sep 30, 2019 · 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.
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