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

I••••••••• F•••••••• P•••••••• P•••

Former SEC-registered adviserDurango, ColoradoCRD 113253SEC 801-116804IAPD
Latest filing Jan 29, 2021
First filing on the tape May 17, 2019 · 9 filings
RAUM
$143M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$143M as of Jan 29, 2021
Feb 5, 2020$122M then
HNW client RAUM$102M as of Jan 29, 2021
Feb 5, 2020$83.5M then
State-registered IARs (5.B.3)2 as of Jan 29, 2021
Feb 5, 20202 then
Employees (5.A)3 as of Jan 29, 2021
Feb 5, 20202 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 29, 2021; every figure names its basis
RAUM per advisor
$71.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
78derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$238,455derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
  • 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$102M71%
  • Individuals$41.0M29%
Individual clients
100reported
HNW clients
55reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
600reported
Financial planning clients
101-250reported
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
  • L••••• P•••• A••• · President/Ccocontrol
    since 12/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 502 to 600
    Dec 14, 2020 to Jan 29, 2021
  • HNW clients · 48 to 55
    Dec 14, 2020 to Jan 29, 2021
  • Individual clients · 95 to 100
    Dec 14, 2020 to Jan 29, 2021
  • Employees · 2 to 3
    Dec 14, 2020 to Jan 29, 2021
  • HNW RAUM · $83.5M to $102M
    Dec 14, 2020 to Jan 29, 2021
  • Individual RAUM · $38.4M to $41.0M
    Dec 14, 2020 to Jan 29, 2021
  • Non-discretionary RAUM · $122M to $143M
    Dec 14, 2020 to Jan 29, 2021
  • RAUM · $122M to $143M
    Dec 14, 2020 to Jan 29, 2021
  • Accounts · 495 to 502
    Jun 20, 2019 to Feb 5, 2020
  • HNW clients · 40 to 48
    Jun 20, 2019 to Feb 5, 2020
  • HNW RAUM · $68.8M to $83.5M
    Jun 20, 2019 to Feb 5, 2020
  • Individual RAUM · $40.8M to $38.4M
    Jun 20, 2019 to Feb 5, 2020
  • Non-discretionary RAUM · $110M to $122M
    Jun 20, 2019 to Feb 5, 2020
  • RAUM · $110M to $122M
    Jun 20, 2019 to Feb 5, 2020
Signals
1 dated events
  • I••••••••• F•••••••• P•••••••• P••• filed its initial SEC registration (Form ADV)
    May 17, 2019 · 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