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.
SEC-registered adviser
Sprinkle Financial Consultants LLC
Latest filing Mar 20, 2026
First filing on the tape Mar 20, 2012 · 22 filings
SEC status approved since Jan 23, 1995
RAUM
$926M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$916M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$926M as of Mar 20, 2026
Mar 20, 2012$327M then
HNW client RAUM$893M as of Mar 20, 2026
Mar 29, 2018$515M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 20, 20120 then
Employees (5.A)8 as of Mar 20, 2026
Mar 25, 20138 then
Private funds: no history
RAUM +6.5% over the last fiscal year+9.1% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 20, 2026; 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
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $867,120derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $2.6M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$893M96%
- Individuals$23.3M2.5%
- Charitable organizations$10.1M1.1%
- Individual clients
- 81reported
- HNW clients
- 161reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,068reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stanley G. Sprinkle | Littleton, Co | Jan 1, 1999 | 32 y | 0 |
| Sean Gary SprinklePersonal Financial Specialist | Littleton, Co | Jan 1, 1999 | 31 y | 0 |
| Scott Kerry SprinkleCertified Financial Planner, Personal Financial Specialist | Littleton, Co | Jul 30, 2005 | 32 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kerry Scott Sprinkle · Managing Member And Chief Compliance Officercontrolsince 09/1994 · owns 25% to 50%
- Gary Sean Sprinkle · Managing Membercontrolsince 03/1996 · owns 25% to 50%
- G Stanley Sprinkle · Managing Membercontrolsince 09/1994 · owns 25% to 50%
Related persons
Schedule D 7.A
- Arin S. Neucksinsurancey
- Scott K. Sprinkleinsurancey
- Sean G. Sprinkleinsurancey
- Sprinkle & Associates, LLCinsurancen
- Stanley G Sprinkleinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Littleton, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 20, 2026RAUM per registered advisor of $308,694,807 against a peer median of $106,365,769 (1262 comparable advisers, 99.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,262) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,086 to 1,068Nov 7, 2025 to Mar 20, 2026
- Advisory employees · 4 to 3Nov 7, 2025 to Mar 20, 2026
- Advisory activities · 2 to 3Nov 7, 2025 to Mar 20, 2026
- HNW clients · 152 to 161Nov 7, 2025 to Mar 20, 2026
- Individual clients · 85 to 81Nov 7, 2025 to Mar 20, 2026
- Assets in custody · $1.7M to $2.6MNov 7, 2025 to Mar 20, 2026
- Employees · 10 to 8Nov 7, 2025 to Mar 20, 2026
- State-registered IARs · 4 to 3Nov 7, 2025 to Mar 20, 2026
- Discretionary RAUM · $870M to $926MNov 7, 2025 to Mar 20, 2026
- HNW RAUM · $835M to $893MNov 7, 2025 to Mar 20, 2026
- Individual RAUM · $26.2M to $23.3MNov 7, 2025 to Mar 20, 2026
- RAUM · $870M to $926MNov 7, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 0Aug 26, 2025 to Nov 7, 2025
- Accounts · 1,069 to 1,086Jan 31, 2025 to Mar 26, 2025
- Individual clients · 92 to 85Jan 31, 2025 to Mar 26, 2025
- Assets in custody · $1.6M to $1.7MJan 31, 2025 to Mar 26, 2025
- Custody of client assets · false to trueJan 31, 2025 to Mar 26, 2025
- Discretionary RAUM · $798M to $870MJan 31, 2025 to Mar 26, 2025
- HNW RAUM · $763M to $835MJan 31, 2025 to Mar 26, 2025
- Individual RAUM · $27.1M to $26.2MJan 31, 2025 to Mar 26, 2025
- RAUM · $798M to $870MJan 31, 2025 to Mar 26, 2025
- Accounts · 1,090 to 1,069Mar 29, 2023 to Mar 21, 2024
- HNW clients · 143 to 152Mar 29, 2023 to Mar 21, 2024
- Individual clients · 104 to 92Mar 29, 2023 to Mar 21, 2024
- Assets in custody · $0 to $1.6MMar 29, 2023 to Mar 21, 2024
- Discretionary RAUM · $713M to $798MMar 29, 2023 to Mar 21, 2024
- HNW RAUM · $679M to $763MMar 29, 2023 to Mar 21, 2024
- Individual RAUM · $28.3M to $27.1MMar 29, 2023 to Mar 21, 2024
- RAUM · $713M to $798MMar 29, 2023 to Mar 21, 2024
- Accounts · 1,048 to 1,090Mar 30, 2022 to Mar 29, 2023
- HNW clients · 146 to 143Mar 30, 2022 to Mar 29, 2023
- Individual clients · 100 to 104Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $828M to $713MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $791M to $679MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $31.1M to $28.3MMar 30, 2022 to Mar 29, 2023
- RAUM · $828M to $713MMar 30, 2022 to Mar 29, 2023
- Accounts · 994 to 1,048Mar 26, 2021 to Mar 30, 2022
- HNW clients · 136 to 146Mar 26, 2021 to Mar 30, 2022
- Individual clients · 92 to 100Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $706M to $828MMar 26, 2021 to Mar 30, 2022
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
- Principal office phone
- (303) 297-2185reportedpublic record, Form ADV, Mar 20, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026