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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Former SEC-registered adviser

K••••• F•••••••• S••••••••• I•••

Former SEC-registered adviserHighlands Ranch, ColoradoCRD 112603SEC 801-61624IAPD
Latest filing Dec 11, 2017
First filing on the tape Mar 3, 2012 · 18 filings
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$237M as of Mar 17, 2017
Mar 3, 2012$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 17, 2017
Mar 3, 20120 then
Employees (5.A)11 as of Mar 17, 2017
Feb 7, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 11, 2017; every figure names its basis
RAUM per advisor
$237MderivedRAUM 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
$295,286derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
801reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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•••••• P•••••••• B•••• · President/Owner/Chief Compliance Officercontrol
      since 05/1995 · owns 75% or more
    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
    • Other offices · unset to 0.0
      Mar 21, 2017 to Dec 11, 2017
    • Accounts · 710 to 801
      Jan 19, 2017 to Mar 17, 2017
    • Advisory employees · 4 to 5
      Jan 19, 2017 to Mar 17, 2017
    • Employees · 10 to 11
      Jan 19, 2017 to Mar 17, 2017
    • Discretionary RAUM · $208M to $237M
      Jan 19, 2017 to Mar 17, 2017
    • RAUM · $208M to $237M
      Jan 19, 2017 to Mar 17, 2017
    • Accounts · 611 to 710
      Dec 4, 2015 to Feb 16, 2016
    • Employees · 7 to 10
      Dec 4, 2015 to Feb 16, 2016
    • Discretionary RAUM · $188M to $208M
      Dec 4, 2015 to Feb 16, 2016
    • RAUM · $188M to $208M
      Dec 4, 2015 to Feb 16, 2016
    • Accounts · 530 to 611
      May 19, 2014 to Mar 3, 2015
    • Advisory employees · 3 to 4
      May 19, 2014 to Mar 3, 2015
    • BD registered reps · 2 to 1
      May 19, 2014 to Mar 3, 2015
    • Employees · 5 to 7
      May 19, 2014 to Mar 3, 2015
    • Discretionary RAUM · $158M to $188M
      May 19, 2014 to Mar 3, 2015
    • RAUM · $158M to $188M
      May 19, 2014 to Mar 3, 2015
    • Accounts · 617 to 530
      Feb 14, 2013 to Jan 10, 2014
    • Employees · 4 to 5
      Feb 14, 2013 to Jan 10, 2014
    • Discretionary RAUM · $128M to $158M
      Feb 14, 2013 to Jan 10, 2014
    • Non-discretionary RAUM · $39.5M to $0
      Feb 14, 2013 to Jan 10, 2014
    • RAUM · $168M to $158M
      Feb 14, 2013 to Jan 10, 2014
    • Accounts · 489 to 617
      Nov 5, 2012 to Feb 7, 2013
    • Advisory employees · 4 to 3
      Nov 5, 2012 to Feb 7, 2013
    • BD registered reps · 3 to 2
      Nov 5, 2012 to Feb 7, 2013
    • Discretionary RAUM · $114M to $128M
      Nov 5, 2012 to Feb 7, 2013
    • Non-discretionary RAUM · $1.1M to $39.5M
      Nov 5, 2012 to Feb 7, 2013
    • RAUM · $115M to $168M
      Nov 5, 2012 to Feb 7, 2013
    • Advisory employees · unset to 4.0
      Jun 29, 2012 to Nov 5, 2012
    • BD registered reps · unset to 3.0
      Jun 29, 2012 to Nov 5, 2012
    • Employees · unset to 4.0
      Jun 29, 2012 to Nov 5, 2012
    • State-registered IARs · 0 to 1
      Jun 29, 2012 to Nov 5, 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.
    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