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

Intervest International, Inc.

Former SEC-registered adviserColorado Springs, ColoradoCRD 111516SEC 801-66615websiteIAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Apr 18, 2006
RAUM
$39.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$39.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$39.9M as of Mar 29, 2024
Mar 30, 2012$164M then
HNW client RAUM$5.2M as of Mar 29, 2024
Mar 27, 2018$16.9M then
State-registered IARs (5.B.3)16 as of Mar 29, 2024
Mar 30, 20120 then
Employees (5.A)16 as of Mar 29, 2024
Mar 27, 201333 then
Private funds: no history
RAUM -46% over the last fiscal year-32% a year over threeIARs 23 to 16offices 20 to 14
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
RAUM per advisor
$2.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$112,171derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.1derived15 offices incl. principal (1.F.5)
RAUM growth, one year
-46%derivedbetween the last two annual amendments
Advisor growth, one year
-30%derivedItem 5.B.3 between annual amendments
Client growth, one year
-42%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$34.7M87%
  • High-net-worth individuals$5.2M13%
Individual clients
353reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
356reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Kevin Timothy O'Brien · Chief Compliance Officer / Vice Presidentcontrol
    since 03/2022 · owns less than 5%
  • Michael David Smith · Chief Executive Officercontrol
    since 11/2008 · owns 75% or more
  • Bess Kacey Watts · Secretary/Treasurer
    since 06/2006 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il000
Colorado Springs, Co · principal000
Fremont, Ne000
Wauwatosa, Wi000
Virginia Beach, Va000
Offices
Schedule D 1.F, the 25 largest
  • Valdosta, GA2 employees
  • Summerville, SC2 employees
  • Freemont, NE1 employees
  • Greenville, SC1 employees
  • Colorado Springs, CO1 employees
  • Virginia Beach, VA1 employees
  • Aurora, CO1 employees
  • , 1 employees
  • St George, UT1 employees
  • , 1 employees
  • Chicago, IL1 employees
  • Harker Heights, TX1 employees
  • , 1 employees
  • Mcallen, TX1 employees
What changed
consecutive filings, newest first
  • Accounts · 612 to 356
    Mar 30, 2023 to Mar 29, 2024
  • Advisory employees · 23 to 16
    Mar 30, 2023 to Mar 29, 2024
  • BD registered reps · 23 to 16
    Mar 30, 2023 to Mar 29, 2024
  • Individual clients · 609 to 353
    Mar 30, 2023 to Mar 29, 2024
  • Employees · 23 to 16
    Mar 30, 2023 to Mar 29, 2024
  • State-registered IARs · 23 to 16
    Mar 30, 2023 to Mar 29, 2024
  • Other offices · 20 to 14
    Mar 30, 2023 to Mar 29, 2024
  • HNW RAUM · $4.3M to $5.2M
    Mar 30, 2023 to Mar 29, 2024
  • Individual RAUM · $70.1M to $34.7M
    Mar 30, 2023 to Mar 29, 2024
  • Non-discretionary RAUM · $74.4M to $39.9M
    Mar 30, 2023 to Mar 29, 2024
  • RAUM · $74.4M to $39.9M
    Mar 30, 2023 to Mar 29, 2024
  • Accounts · 1,162 to 612
    Aug 25, 2022 to Mar 30, 2023
  • Advisory employees · 30 to 23
    Aug 25, 2022 to Mar 30, 2023
  • BD registered reps · 30 to 23
    Aug 25, 2022 to Mar 30, 2023
  • HNW clients · 19 to 3
    Aug 25, 2022 to Mar 30, 2023
  • Individual clients · 1,143 to 609
    Aug 25, 2022 to Mar 30, 2023
  • Employees · 30 to 23
    Aug 25, 2022 to Mar 30, 2023
  • State-registered IARs · 30 to 23
    Aug 25, 2022 to Mar 30, 2023
  • Other offices · 21 to 20
    Aug 25, 2022 to Mar 30, 2023
  • HNW RAUM · $24.9M to $4.3M
    Aug 25, 2022 to Mar 30, 2023
  • Individual RAUM · $170M to $70.1M
    Aug 25, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $195M to $74.4M
    Aug 25, 2022 to Mar 30, 2023
  • RAUM · $195M to $74.4M
    Aug 25, 2022 to Mar 30, 2023
  • Accounts · 809 to 1,162
    Jul 21, 2021 to Mar 29, 2022
  • Advisory employees · 29 to 30
    Jul 21, 2021 to Mar 29, 2022
  • BD registered reps · 29 to 30
    Jul 21, 2021 to Mar 29, 2022
  • HNW clients · 17 to 19
    Jul 21, 2021 to Mar 29, 2022
  • Individual clients · 792 to 1,143
    Jul 21, 2021 to Mar 29, 2022
  • Employees · 29 to 30
    Jul 21, 2021 to Mar 29, 2022
  • Insurance-licensed employees · 2 to 1
    Jul 21, 2021 to Mar 29, 2022
  • State-registered IARs · 29 to 30
    Jul 21, 2021 to Mar 29, 2022
  • Other offices · 24 to 21
    Jul 21, 2021 to Mar 29, 2022
  • HNW RAUM · $24.9M to $24.9M
    Jul 21, 2021 to Mar 29, 2022
  • Individual RAUM · $99.6M to $170M
    Jul 21, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $124M to $195M
    Jul 21, 2021 to Mar 29, 2022
  • RAUM · $124M to $195M
    Jul 21, 2021 to Mar 29, 2022
  • Other offices · 22 to 24
    Mar 9, 2021 to Mar 29, 2021
  • Accounts · 523 to 809
    Feb 11, 2021 to Mar 9, 2021
  • Advisory employees · 34 to 29
    Feb 11, 2021 to Mar 9, 2021
  • BD registered reps · 34 to 29
    Feb 11, 2021 to Mar 9, 2021
Signals
37 dated events
  • Intervest International, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $39.9M)
    May 2, 2025 · Left the SEC roster · derived
  • David Michael Smith left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-29)
    Mar 19, 2025 · Advisor changed firm · fact
  • Timothy Kevin O'Brien left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-02)
    Mar 19, 2025 · Advisor changed firm · fact
  • James Daniel Washnock left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-28)
    Nov 15, 2024 · Advisor changed firm · fact
  • Sean Robert Romero left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-29)
    Nov 15, 2024 · Advisor changed firm · fact
  • Zachary Keith Cowdell left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-24)
    Nov 15, 2024 · Advisor changed firm · fact
  • Paul Douglas Mclemore left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2026-03-03)
    Nov 15, 2024 · Advisor changed firm · fact
  • John Francis Carr left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-28)
    Nov 15, 2024 · Advisor changed firm · fact
  • Michael Patrick Geraci left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2025-05-08)
    Nov 15, 2024 · Advisor changed firm · fact
  • David Michael Smith left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-25)
    Nov 15, 2024 · Advisor changed firm · fact
  • Kim Leon Cowdell left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-11-04)
    Nov 15, 2024 · Advisor changed firm · fact
  • John David Washnock left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-28)
    Nov 15, 2024 · Advisor changed firm · fact
  • Michael Dale Guilliatt left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-11-19)
    Nov 15, 2024 · Advisor changed firm · fact
  • Jeffrey Stephen Geraci left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-22)
    Nov 15, 2024 · Advisor changed firm · fact
  • Travis Michael Moore left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-28)
    Nov 15, 2024 · Advisor changed firm · fact
  • Jonathan Eric Ellefson left Intervest International, Inc. for Ausdal Financial Partners, Inc. (registered 2024-10-31)
    Nov 14, 2024 · Advisor changed firm · fact
  • Intervest International, Inc.'s advisors moved to Ausdal Financial Partners, Inc. (Colorado Springs, CO): 8 of 15 registered, a day apart
    Nov 14, 2024 · Firm absorbed (people side) · derived
  • Michael J. Bunzel left Intervest International, Inc. for Stonewater Wealth Management, Inc. (registered 2024-07-03)
    Jul 5, 2024 · Advisor changed firm · fact
  • Intervest International, Inc. reported 14 offices beyond its principal office, down from 20 (2023-03-30 to 2024-03-29)
    Mar 29, 2024 · Office count change · derived
  • Trevor Bennett left Intervest International, Inc. for Raymond James & Associates, Inc. (registered 2023-09-14)
    Sep 5, 2023 · Advisor changed firm · fact
  • Stephen Alan Colavito left Intervest International, Inc. for Osaic Wealth, Inc. (registered 2023-08-04)
    Aug 1, 2023 · Advisor changed firm · fact
  • Kevin Peter Zebrowski left Intervest International, Inc. for Regal Investment Advisors Llc (registered 2023-06-27)
    Jun 27, 2023 · Advisor changed firm · fact
  • Robert Esposito left Intervest International, Inc. for Regal Investment Advisors Llc (registered 2023-06-27)
    Jun 27, 2023 · Advisor changed firm · fact
  • 2 advisors left Intervest International, Inc. (Morristown, NJ) for Regal Investment Advisors LLC on the same day
    Jun 27, 2023 · Team lift-out · derived
  • John Harvey Doney left Intervest International, Inc. for Kestra Advisory Services, Llc (registered 2023-06-06)
    Jun 6, 2023 · Advisor changed firm · fact
  • Jacob Michael Forschein left Intervest International, Inc. for Kestra Advisory Services, Llc (registered 2023-06-06)
    Jun 6, 2023 · Advisor changed firm · fact
  • Jon Christopher Vinge left Intervest International, Inc. for Kestra Advisory Services, Llc (registered 2023-06-07)
    Jun 6, 2023 · Advisor changed firm · fact
  • 2 advisors left Intervest International, Inc. (Colorado Springs, CO) for Kestra Advisory Services, LLC on the same day
    Jun 6, 2023 · Team lift-out · derived
  • Mark Edward Ramey left Intervest International, Inc. for Lpl Financial Llc (registered 2025-01-02)
    May 24, 2023 · Advisor changed firm · fact
  • Intervest International, Inc. reported RAUM $74.4M, down 62% from $194.6M (2022-08-25 to 2023-03-30)
    Mar 30, 2023 · RAUM change · derived
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