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
I••••••••• B•••••••• I•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2025 · 3 filings
SEC status approved since Apr 14, 2025
RAUM
$101M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
80%
$81.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$101M as of Mar 31, 2026
Mar 12, 2025$101M then
HNW client RAUM$27.8M as of Mar 31, 2026
Mar 12, 2025$64.1M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 12, 20252 then
Employees (5.A)2 as of Mar 31, 2026
Mar 12, 20252 then
Private funds: no history
RAUM +0.8% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $653,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +121%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$53.4M53%
- High-net-worth individuals$27.8M27%
- Pension and profit-sharing plans$20.1M20%
- Individual clients
- 125reported
- HNW clients
- 25reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 155reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•• E•••• S••••••• | Grand Junction, Co | Jan 1, 1999 | 43 y | 1 |
| S•••• K•••••••• S••••••• | Grand Junction, Co | Mar 24, 2020 | 10 y | 1 |
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
- R•• E•••• S••••••• from O•••• W•••••• I•••Jan 1, 1999 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• R••• E•••• · President And Ownercontrolsince 05/1997 · owns 75% or more
- S•••••••• S••••• K•••••••• · Chief Compliance Officer And Ownercontrolsince 04/2025 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Grand Junction, Co | 2 | 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
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 64.0% to 27.0% between the annual amendments of 2025-03-12 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 193 to 155Sep 16, 2025 to Mar 31, 2026
- HNW clients · 21 to 25Sep 16, 2025 to Mar 31, 2026
- Individual clients · 47 to 125Sep 16, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 0Sep 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $79.8M to $81.2MSep 16, 2025 to Mar 31, 2026
- HNW RAUM · $64.1M to $27.8MSep 16, 2025 to Mar 31, 2026
- Individual RAUM · $15.7M to $53.4MSep 16, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $20.7M to $20.1MSep 16, 2025 to Mar 31, 2026
- Pension RAUM · $20.7M to $20.1MSep 16, 2025 to Mar 31, 2026
- RAUM · $101M to $101MSep 16, 2025 to Mar 31, 2026
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
- Business phone
- 970-618-3000reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- IBIadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 970-618-3000reportedpublic record, Form ADV, Mar 31, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026