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

P••••••• W••••• M••••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 112969SEC 801-110861IAPD
Latest filing Dec 6, 2022
First filing on the tape Jun 21, 2017 · 15 filings
RAUM
$162M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$162M as of Feb 4, 2022
Feb 5, 2018$112M then
HNW client RAUM$87.9M as of Feb 4, 2022
Feb 5, 2018$46.8M then
State-registered IARs (5.B.3)0 as of Feb 4, 2022
Feb 5, 20183 then
Employees (5.A)6 as of Feb 4, 2022
Feb 5, 20183 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Dec 6, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$209,363derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$87.9M54%
  • Individuals$74.6M46%
Individual clients
248reported
HNW clients
53reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
776reported
Financial planning clients
251-500reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• T•••••• C•••••• · President, Chief Compliance Officercontrol
    since 09/1998 · 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
  • Accounts · 725 to 776
    Apr 20, 2021 to Feb 4, 2022
  • Advisory employees · 2 to 3
    Apr 20, 2021 to Feb 4, 2022
  • HNW clients · 34 to 53
    Apr 20, 2021 to Feb 4, 2022
  • Individual clients · 254 to 248
    Apr 20, 2021 to Feb 4, 2022
  • Employees · 5 to 6
    Apr 20, 2021 to Feb 4, 2022
  • State-registered IARs · 2 to 0
    Apr 20, 2021 to Feb 4, 2022
  • Discretionary RAUM · $129M to $161M
    Apr 20, 2021 to Feb 4, 2022
  • HNW RAUM · $52.4M to $87.9M
    Apr 20, 2021 to Feb 4, 2022
  • Individual RAUM · $77.3M to $74.6M
    Apr 20, 2021 to Feb 4, 2022
  • Non-discretionary RAUM · $1.1M to $1.3M
    Apr 20, 2021 to Feb 4, 2022
  • RAUM · $130M to $162M
    Apr 20, 2021 to Feb 4, 2022
  • BD registered reps · 2 to 0
    Jan 15, 2021 to Mar 1, 2021
  • Insurance-licensed employees · 2 to 0
    Jan 15, 2021 to Mar 1, 2021
  • Accounts · 711 to 725
    Jul 14, 2020 to Jan 15, 2021
  • HNW clients · 32 to 34
    Jul 14, 2020 to Jan 15, 2021
  • Individual clients · 255 to 254
    Jul 14, 2020 to Jan 15, 2021
  • Discretionary RAUM · $116M to $129M
    Jul 14, 2020 to Jan 15, 2021
  • HNW RAUM · $46.1M to $52.4M
    Jul 14, 2020 to Jan 15, 2021
  • Individual RAUM · $70.9M to $77.3M
    Jul 14, 2020 to Jan 15, 2021
  • Non-discretionary RAUM · $1.1M to $1.1M
    Jul 14, 2020 to Jan 15, 2021
  • RAUM · $117M to $130M
    Jul 14, 2020 to Jan 15, 2021
  • Accounts · 661 to 711
    Aug 15, 2019 to Jan 17, 2020
  • HNW clients · 23 to 32
    Aug 15, 2019 to Jan 17, 2020
  • Individual clients · 264 to 255
    Aug 15, 2019 to Jan 17, 2020
  • Discretionary RAUM · $99.0M to $116M
    Aug 15, 2019 to Jan 17, 2020
  • HNW RAUM · $33.1M to $46.1M
    Aug 15, 2019 to Jan 17, 2020
  • Individual RAUM · $66.7M to $70.9M
    Aug 15, 2019 to Jan 17, 2020
  • Non-discretionary RAUM · $903,142 to $1.1M
    Aug 15, 2019 to Jan 17, 2020
  • RAUM · $99.9M to $117M
    Aug 15, 2019 to Jan 17, 2020
  • Accounts · 719 to 661
    Feb 5, 2018 to Jan 11, 2019
  • Advisory employees · 3 to 2
    Feb 5, 2018 to Jan 11, 2019
  • BD registered reps · 3 to 2
    Feb 5, 2018 to Jan 11, 2019
  • HNW clients · 41 to 23
    Feb 5, 2018 to Jan 11, 2019
  • Individual clients · 349 to 264
    Feb 5, 2018 to Jan 11, 2019
  • Employees · 3 to 5
    Feb 5, 2018 to Jan 11, 2019
  • Insurance-licensed employees · 3 to 2
    Feb 5, 2018 to Jan 11, 2019
  • State-registered IARs · 3 to 2
    Feb 5, 2018 to Jan 11, 2019
  • Discretionary RAUM · $111M to $99.0M
    Feb 5, 2018 to Jan 11, 2019
  • HNW RAUM · $46.8M to $33.1M
    Feb 5, 2018 to Jan 11, 2019
  • Individual RAUM · $64.8M to $66.7M
    Feb 5, 2018 to Jan 11, 2019
Signals
3 dated events
  • T••••• C•••••• S•••••••• left P••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 1999-12-17)
    Mar 20, 2023 · Advisor changed firm · fact
  • B•••••• M•••••• M•••• left P••••••• W••••• M••••••••• I••• for B••••• P••••• A•••••••• L•• (registered 2023-02-28)
    Feb 24, 2023 · Advisor changed firm · fact
  • P••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Jun 21, 2017 · 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