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
D••••••••• A•••• M••••••••• I•••
Latest filing Jan 25, 2025
First filing on the tape Dec 12, 2011 · 14 filings
SEC status approved since Jun 9, 2021
RAUM
$126M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$126M as of Jan 25, 2025
Feb 8, 2012$57.5M then
HNW client RAUM$96.9M as of Jan 25, 2025
Feb 8, 2022$91.3M then
State-registered IARs (5.B.3)1 as of Jan 25, 2025
Feb 8, 20120 then
Employees (5.A)2 as of Jan 25, 2025
Feb 8, 20221 then
Private funds: no history
RAUM +9.8% over the last fiscal year+2.3% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jan 25, 2025; every figure names its basis
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%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 consulting, publicationsreportedItem 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)
- 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
- High-net-worth individuals$96.9M77%
- Individuals$22.7M18%
- Pension and profit-sharing plans$6.7M5.3%
- Individual clients
- 44reported
- HNW clients
- 32reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- 11-25reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- R••••• J•••• P••• to M•••••• W••••• M••••••••• L•Nov 12, 2025 · RIA to RIA
- M•••••• J•••• P••• to M•••••• W••••• M••••••••• L•Nov 12, 2025 · RIA to RIA
- D••• B•••• F•••• to W•••••• P•••••• C••••••Jun 28, 2024 · RIA to RIA
- M••••• T• S•••••• to S••••••• C•••••• M••••••••• I•••Jan 25, 2023 · RIA to RIA
- C••••• W•••••• Z••••• to C••••••••• F•••••••• N••••••Mar 23, 2020 · Other
- K•••••• B•••••••• to B•• W••••• P•••••••Jul 31, 2018 · Other
- D•••• L••••••• D•• to G••• M•••• W•••••• I•••Nov 8, 2016 · Other
- S•••• M• S•••• to C•••••• P••••••• A••••••••• I•••May 29, 2014 · Other
Joined, latest
- S•••• M• S•••• from C•••••• P••••••• A••••••••• I•••Aug 24, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••••• W••••• M••••••••• L•Nov 12, 2025 · Boulder, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• R•••••• J•••• · President-Chief Compliance Officercontrolsince 04/1996 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boulder, Co · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 311 to 85Apr 12, 2024 to Jan 25, 2025
- Advisory employees · 2 to 1Apr 12, 2024 to Jan 25, 2025
- HNW clients · 29 to 32Apr 12, 2024 to Jan 25, 2025
- Individual clients · 48 to 44Apr 12, 2024 to Jan 25, 2025
- Financial planning clients · 11-25 to 11-25Apr 12, 2024 to Jan 25, 2025
- State-registered IARs · 2 to 1Apr 12, 2024 to Jan 25, 2025
- Discretionary RAUM · $111M to $121MApr 12, 2024 to Jan 25, 2025
- HNW RAUM · $88.6M to $96.9MApr 12, 2024 to Jan 25, 2025
- Individual RAUM · $21.4M to $22.7MApr 12, 2024 to Jan 25, 2025
- Non-discretionary RAUM · $4.0M to $5.5MApr 12, 2024 to Jan 25, 2025
- Pension RAUM · $5.1M to $6.7MApr 12, 2024 to Jan 25, 2025
- RAUM · $115M to $126MApr 12, 2024 to Jan 25, 2025
- Accounts · 81 to 311Sep 5, 2023 to Feb 29, 2024
- Advisory employees · 1 to 2Sep 5, 2023 to Feb 29, 2024
- HNW clients · 30 to 29Sep 5, 2023 to Feb 29, 2024
- Individual clients · 50 to 48Sep 5, 2023 to Feb 29, 2024
- Pension plan clients · unset to 9.0Sep 5, 2023 to Feb 29, 2024
- Employees · 1 to 2Sep 5, 2023 to Feb 29, 2024
- Financial planning clients · 1-10 to 11-25Sep 5, 2023 to Feb 29, 2024
- State-registered IARs · 1 to 2Sep 5, 2023 to Feb 29, 2024
- Discretionary RAUM · $103M to $111MSep 5, 2023 to Feb 29, 2024
- HNW RAUM · $79.0M to $88.6MSep 5, 2023 to Feb 29, 2024
- Individual RAUM · $22.9M to $21.4MSep 5, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $0 to $4.0MSep 5, 2023 to Feb 29, 2024
- Pension RAUM · $890,805 to $5.1MSep 5, 2023 to Feb 29, 2024
- RAUM · $103M to $115MSep 5, 2023 to Feb 29, 2024
- Financial planning clients · 11-25 to 1-10Feb 8, 2022 to Feb 17, 2023
- Discretionary RAUM · $118M to $103MFeb 8, 2022 to Feb 17, 2023
- HNW RAUM · $91.3M to $79.0MFeb 8, 2022 to Feb 17, 2023
- Individual RAUM · $25.6M to $22.9MFeb 8, 2022 to Feb 17, 2023
- Pension RAUM · $948,299 to $890,805Feb 8, 2022 to Feb 17, 2023
- RAUM · $118M to $103MFeb 8, 2022 to Feb 17, 2023
- Accounts · 80 to 81Aug 10, 2021 to Feb 8, 2022
- HNW clients · 31 to 30Aug 10, 2021 to Feb 8, 2022
- Individual clients · 48 to 50Aug 10, 2021 to Feb 8, 2022
- Discretionary RAUM · $112M to $118MAug 10, 2021 to Feb 8, 2022
- HNW RAUM · $88.2M to $91.3MAug 10, 2021 to Feb 8, 2022
- Individual RAUM · $23.1M to $25.6MAug 10, 2021 to Feb 8, 2022
- Pension RAUM · $819,489 to $948,299Aug 10, 2021 to Feb 8, 2022
- RAUM · $112M to $118MAug 10, 2021 to Feb 8, 2022
Signals
7 dated events
- D••••••••• A•••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $126.4M)Dec 20, 2025 · Left the SEC roster · derived
- 2 advisors left D••••••••• A•••• M••••••••• I••• (Boulder, CO) for M•••••• W••••• M••••••••• L• on the same dayNov 12, 2025 · Team lift-out · derived
- R••••• J•••• P••• left D••••••••• A•••• M••••••••• I••• for M•••••• W••••• M••••••••• L• (registered 2025-10-01)Nov 12, 2025 · Advisor changed firm · fact
- M•••••• J•••• P••• left D••••••••• A•••• M••••••••• I••• for M•••••• W••••• M••••••••• L• (registered 2025-10-01)Nov 12, 2025 · Advisor changed firm · fact
- D••• B•••• F•••• left D••••••••• A•••• M••••••••• I••• for W•••••• P•••••• C•••••• (registered 2025-06-16)Jun 28, 2024 · Advisor changed firm · fact
- M••••• T• S•••••• left D••••••••• A•••• M••••••••• I••• for S••••••• C•••••• M••••••••• I••• (registered 2025-02-18)Jan 25, 2023 · Advisor changed firm · fact
- D••••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 10, 2021 · First SEC registration · fact
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