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

H••••• • T••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserBozeman, MontanaCRD 113553SEC 801-64030IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$73.8M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$70.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$73.8M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$73.8M as of Mar 31, 2022
Mar 29, 2012$34.5M then
HNW client RAUM$66.6M as of Mar 31, 2022
Mar 27, 2018$53.3M then
State-registered IARs (5.B.3)2 as of Mar 31, 2022
Mar 29, 20120 then
Employees (5.A)5 as of Mar 31, 2022
Apr 3, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$73.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$922,359derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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 individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$66.6M90%
  • Individuals$4.1M5.6%
  • Pension and profit-sharing plans$3.1M4.2%
Individual clients
25reported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
80reported
Financial planning clients
0reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• J••• T•••••Mount Pleasant, Sc Jan 1, 199934 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T•••••• D••••• J••• · President & Chief Compliance Officercontrol
    since 09/1998 · owns 10% to 25%
  • H•••••• W••••••• B•••• · Shareholder
    since 01/2012 · owns 10% to 25%
  • M••••••• D••••• W•••••• · Shareholder
    since 01/2012 · owns 10% to 25%
  • T•••••• E•••••• J••• · Shareholder
    since 01/2012 · owns 10% to 25%
  • T•••••• L••••• L••• · Shareholder
    since 01/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
  • H••••• • T••••• C•••
    insurancey
Advisers that list H••••• • T••••• F•••••••• S•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Bozeman, MT1 employees
What changed
consecutive filings, newest first
  • Accounts · 79 to 80
    Feb 16, 2022 to Mar 31, 2022
  • Individual clients · 27 to 25
    Feb 16, 2022 to Mar 31, 2022
  • HQ city · DENVER to BOZEMAN
    Feb 16, 2022 to Mar 31, 2022
  • HQ state · CO to MT
    Feb 16, 2022 to Mar 31, 2022
  • Discretionary RAUM · $64.0M to $70.7M
    Feb 16, 2022 to Mar 31, 2022
  • HNW RAUM · $57.6M to $66.6M
    Feb 16, 2022 to Mar 31, 2022
  • Individual RAUM · $3.8M to $4.1M
    Feb 16, 2022 to Mar 31, 2022
  • Non-discretionary RAUM · $0 to $3.1M
    Feb 16, 2022 to Mar 31, 2022
  • Pension RAUM · $2.6M to $3.1M
    Feb 16, 2022 to Mar 31, 2022
  • RAUM · $64.0M to $73.8M
    Feb 16, 2022 to Mar 31, 2022
  • Advisory employees · 1 to 2
    Mar 31, 2021 to Jun 28, 2021
  • Assets in custody · 1441597.0 to unset
    Mar 31, 2021 to Jun 28, 2021
  • Custody of client assets · true to false
    Mar 31, 2021 to Jun 28, 2021
  • Insurance-licensed employees · 1 to 2
    Mar 31, 2021 to Jun 28, 2021
  • State-registered IARs · 1 to 2
    Mar 31, 2021 to Jun 28, 2021
  • Accounts · 80 to 79
    Jan 8, 2021 to Mar 31, 2021
  • Advisory employees · 2 to 1
    Jan 8, 2021 to Mar 31, 2021
  • Advisory activities · 2 to 3
    Jan 8, 2021 to Mar 31, 2021
  • BD registered reps · 2 to 0
    Jan 8, 2021 to Mar 31, 2021
  • Individual clients · 30 to 27
    Jan 8, 2021 to Mar 31, 2021
  • Pension plan clients · 2.0 to unset
    Jan 8, 2021 to Mar 31, 2021
  • Assets in custody · $0 to $1.4M
    Jan 8, 2021 to Mar 31, 2021
  • Custody of client assets · false to true
    Jan 8, 2021 to Mar 31, 2021
  • Employees · 3 to 5
    Jan 8, 2021 to Mar 31, 2021
  • Insurance-licensed employees · 2 to 1
    Jan 8, 2021 to Mar 31, 2021
  • State-registered IARs · 2 to 1
    Jan 8, 2021 to Mar 31, 2021
  • Discretionary RAUM · $51.0M to $64.0M
    Jan 8, 2021 to Mar 31, 2021
  • HNW RAUM · $43.7M to $57.6M
    Jan 8, 2021 to Mar 31, 2021
  • Individual RAUM · $4.3M to $3.8M
    Jan 8, 2021 to Mar 31, 2021
  • Pension RAUM · $2.9M to $2.6M
    Jan 8, 2021 to Mar 31, 2021
  • RAUM · $51.0M to $64.0M
    Jan 8, 2021 to Mar 31, 2021
  • Related broker-dealer · true to false
    Jan 8, 2021 to Mar 31, 2021
  • Accounts · 72 to 80
    Mar 28, 2019 to Apr 2, 2020
  • Advisory employees · 1 to 2
    Mar 28, 2019 to Apr 2, 2020
  • BD registered reps · 1 to 2
    Mar 28, 2019 to Apr 2, 2020
  • HNW clients · 15 to 17
    Mar 28, 2019 to Apr 2, 2020
  • Individual clients · 28 to 30
    Mar 28, 2019 to Apr 2, 2020
  • Pension plan clients · 0 to 2
    Mar 28, 2019 to Apr 2, 2020
  • Employees · 2 to 3
    Mar 28, 2019 to Apr 2, 2020
  • Insurance-licensed employees · 1 to 2
    Mar 28, 2019 to Apr 2, 2020
Signals
5 dated events
  • J••• J••••• V•••••• left H••••• • T••••• F•••••••• S•••••••• I••• for A•••••• W••••• M••••••••• L•• (registered 2021-02-16)
    Feb 17, 2023 · Advisor changed firm · fact
  • R•••••• H• C••• left H••••• • T••••• F•••••••• S•••••••• I••• for A•••••• W••••• M••••••••• L•• (registered 2021-02-08)
    Nov 29, 2022 · Advisor changed firm · fact
  • Joseph John Vansant (Chief Compliance Officer) no longer on Schedule A of H••••• • T••••• F•••••••• S•••••••• I••• (listed 2022-02-16, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • John Ernest Turner (Vice-President) no longer on Schedule A of H••••• • T••••• F•••••••• S•••••••• I••• (listed 2021-03-31, absent 2021-06-28)
    Jun 28, 2021 · Control person left · inference
  • Joseph John Vansant (Chief Compliance Officer) appeared on Schedule A of H••••• • T••••• F•••••••• S•••••••• I•••
    Mar 31, 2021 · Control person joined · 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
$73.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026