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•••••• F••••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape Oct 3, 2022 · 11 filings
SEC status approved since Nov 2, 2022
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$121M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.9M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$123M as of Mar 5, 2026
Mar 23, 2023$105M then
HNW client RAUM$98.6M as of Mar 5, 2026
Mar 23, 2023$66.7M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 23, 20233 then
Employees (5.A)5 as of Mar 5, 2026
Mar 23, 20234 then
Private funds: no history
RAUM -22% over the last fiscal year+5.5% a year over threeIARs 4 to 4offices 1 to 4
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $30.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $478,313derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -37%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $157MreportedItem 5.I
- Custody
- $48.9M, 46 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.6M80%
- Individuals$22.1M18%
- Pension and profit-sharing plans$2.7M2.2%
- Individual clients
- 83reported
- HNW clients
- 30reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 258reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $48.9M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• G•••• A••••Certified Financial Planner | Greenwood Village, Co | Jan 1, 1999 | 33 y | 2 |
| K•••• R••••• F••••••Certified Financial Planner | Greenwood Village, Co | May 3, 2013 | 40 y | 2 |
| A••••• M•••• A••••Certified Financial Planner | Bellaire, Mi | Jun 5, 2023 | 13 y | 0 |
| R••• G••••• | Parker, Co | Mar 5, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- N••••••• J••• W•••••• to 4• N•••• F••••••••Dec 17, 2025 · RIA to a state-registered adviser
Joined, latest
- N••••••• J••• W•••••• from M•• I•••••••• S•••••••• L••Apr 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- K•••• R••••• F•••••• from W••••• S••••• S••••••••• I•••May 3, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••••• M•••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- A••••• W•••••• G•••• · President; CFPcontrolsince 07/1989 · 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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 4 | 1 | 1 | ||
| Bellaire, Mi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Mar 5, 2026individual and HNW clients (Item 5.D) moved from 178.0 to 113.0 (-37.0%) between the annual amendments of 2025-04-10 and 2026-03-05; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 3.1% percentile
- account count collapseChange between filings · filing Mar 5, 2026accounts (Item 5.F.2.f) moved from 481.0 to 258.0 (-46.0%) between the annual amendments of 2025-04-10 and 2026-03-05; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.3% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Feb 2, 2026 to Mar 5, 2026
- Employees · 4 to 5Feb 2, 2026 to Mar 5, 2026
- State-registered IARs · 3 to 4Feb 2, 2026 to Mar 5, 2026
- Other offices · 3 to 4Feb 2, 2026 to Mar 5, 2026
- Accounts · 411 to 258Dec 17, 2025 to Feb 2, 2026
- Corporate clients · 1 to 0Dec 17, 2025 to Feb 2, 2026
- HNW clients · 41 to 30Dec 17, 2025 to Feb 2, 2026
- Individual clients · 98 to 83Dec 17, 2025 to Feb 2, 2026
- Assets in custody · unset to 48890942.0Dec 17, 2025 to Feb 2, 2026
- Custody of client assets · false to trueDec 17, 2025 to Feb 2, 2026
- Financial planning clients · 51-100 to 11-25Dec 17, 2025 to Feb 2, 2026
- Discretionary RAUM · $181M to $123MDec 17, 2025 to Feb 2, 2026
- HNW RAUM · $137M to $98.6MDec 17, 2025 to Feb 2, 2026
- Individual RAUM · $41.1M to $22.1MDec 17, 2025 to Feb 2, 2026
- Pension RAUM · $2.6M to $2.7MDec 17, 2025 to Feb 2, 2026
- RAUM · $181M to $123MDec 17, 2025 to Feb 2, 2026
- Accounts · 481 to 411Apr 10, 2025 to Dec 17, 2025
- Advisory employees · 4 to 3Apr 10, 2025 to Dec 17, 2025
- Advisory activities · 6 to 4Apr 10, 2025 to Dec 17, 2025
- Charity clients · 4 to 0Apr 10, 2025 to Dec 17, 2025
- HNW clients · 47 to 41Apr 10, 2025 to Dec 17, 2025
- Individual clients · 131 to 98Apr 10, 2025 to Dec 17, 2025
- Pension plan clients · 12 to 1Apr 10, 2025 to Dec 17, 2025
- Employees · 5 to 4Apr 10, 2025 to Dec 17, 2025
- State-registered IARs · 4 to 3Apr 10, 2025 to Dec 17, 2025
- Other offices · 1 to 3Apr 10, 2025 to Dec 17, 2025
- Discretionary RAUM · $157M to $181MApr 10, 2025 to Dec 17, 2025
- HNW RAUM · $111M to $137MApr 10, 2025 to Dec 17, 2025
- Individual RAUM · $35.5M to $41.1MApr 10, 2025 to Dec 17, 2025
- Pension RAUM · $9.7M to $2.6MApr 10, 2025 to Dec 17, 2025
- RAUM · $157M to $181MApr 10, 2025 to Dec 17, 2025
- Wrap assets (manager) · $75.2M to $0Apr 10, 2025 to Dec 17, 2025
- Wrap assets (sponsor) · $82.2M to $0Apr 10, 2025 to Dec 17, 2025
- Accounts · 430 to 481Sep 10, 2024 to Apr 10, 2025
- Charity clients · 2 to 4Sep 10, 2024 to Apr 10, 2025
- HNW clients · 32 to 47Sep 10, 2024 to Apr 10, 2025
- Individual clients · 140 to 131Sep 10, 2024 to Apr 10, 2025
- Pension plan clients · 8 to 12Sep 10, 2024 to Apr 10, 2025
- Financial planning clients · 51-100 to 51-100Sep 10, 2024 to Apr 10, 2025
- Discretionary RAUM · $123M to $157MSep 10, 2024 to Apr 10, 2025
Signals
3 dated events
- N••••••• J••• W•••••• left I•••••• F••••••••• I••• for 4• N•••• F•••••••• (registered 2025-10-10)Dec 17, 2025 · Advisor changed firm · fact
- Marie Alison Ashby (Chief Compliance Officer) appeared on Schedule A of I•••••• F••••••••• I•••Sep 10, 2024 · Control person joined · fact
- I•••••• F••••••••• I••• filed its initial SEC registration (Form ADV)Oct 3, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@integrafinancial.wsreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kathy@integrafinancial.wsreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-220-5525reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- integrafinancial.wsreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-220-5525reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- integrafinancial.ws/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- integrafinancial.ws/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $30.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026