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.
SEC-registered adviser
Townsend
Legal name Townsend & Associates, Inc.
Latest filing Sep 11, 2026
First filing on the tape Dec 19, 2011 · 67 filings
SEC status approved since Apr 28, 2006
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
30
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
67 filings and snapshots on the tape
RAUM$1.5B as of Aug 14, 2026
Jan 30, 2012$242M then
HNW client RAUM$1.1B as of Aug 14, 2026
Mar 12, 2018$283M then
State-registered IARs (5.B.3)16 as of Aug 14, 2026
Jan 30, 20120 then
Employees (5.A)30 as of Aug 14, 2026
Feb 13, 201315 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 15 to 16
Practice profile
derived from the filing of Sep 11, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $415,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 638reportedItem 5.H
- Custody
- $12.6M, 15 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)
- 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$1.1B72%
- Individuals$433M28%
- Individual clients
- 1,003reported
- HNW clients
- 511reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,662reported
- Financial planning clients
- 638reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.6M for 15 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=17.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffery Edward Townsend | Westminster, Co | Jan 1, 1999 | 35 y | 1 |
| Theresa Lynn Thomas | Westminster, Co | Aug 2, 2007 | 24 y | 0 |
| Shawn Robert Kelly | Westminster, Co | Jan 16, 2008 | 25 y | 1 |
| Tiffany Anna BrownCertified Financial Planner | Westminster, Co | Oct 1, 2009 | 22 y | 2 |
| Mark Edward Thomas | Westminster, Co | Sep 30, 2010 | 34 y | 0 |
| Andrew Wayne Hanna | Westminster, Co | Jan 26, 2015 | 12 y | 1 |
| Steven Kent CarlisleCertified Financial Planner | Westminster, Co | Sep 15, 2016 | 10 y | 0 |
| Kaitlin Elizabeth BellCertified Financial Planner | Westminster, Co | Mar 15, 2017 | 15 y | 1 |
| Richard Charles HarrisonCertified Financial Planner | Westminster, Co | Apr 12, 2019 | 17 y | 4 |
| Jonathan David-Rockwell AmickCertified Financial Planner | Westminster, Co | Oct 14, 2019 | 15 y | 0 |
| David Joseph Francis | Westminster, Co | May 10, 2022 | 16 y | 1 |
| Drew Mckinley HayworthChartered Financial Analyst | Denver, Co | Sep 22, 2022 | 31 y | 3 |
| John Robert GoltermannChartered Financial Analyst | Denver, Co | Sep 22, 2022 | 35 y | 2 |
| Tyler Hentges | Westminster, Co | Feb 28, 2025 | 10 y | 2 |
| Robin Adalia Carlin | Westminster, Co | May 12, 2026 | 17 y | 0 |
| Greg Eric GrahamCertified Financial Planner, Chartered Financial Consultant | Westminster, Co | Jun 5, 2026 | 27 y | 2 |
| Mark Jason Bosley | Westminster, Co | Jun 29, 2026 | 10 y | 1 |
| Scott ConwayCertified Financial Planner | Westminster, Co | Aug 14, 2026 | 36 y | 4 |
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 11% of current headcount3 left over 36 months
Left, latest
- Antwann Holmes to J.P. Morgan Securities LLCMay 11, 2026 · RIA to wirehouse
- Nathaniel Francescato to Tlg Advisors, Inc.Oct 20, 2025 · RIA to affiliated broker-dealer or bank
- Grace Geneva O'Mara to Nationwide Investment Advisors, LLCDec 19, 2024 · RIA to affiliated broker-dealer or bank
- Andrew Neil Wyckoff to Northwestern Mutual Investment Services,LLCAug 7, 2023 · Other
- Antwann Holmes to Creative PlanningNov 4, 2022 · RIA to RIA
- Devin D. Bebout to J.P. Morgan Securities LLCNov 4, 2022 · RIA to wirehouse
- Jeffrey Alan Reid to Edward JonesOct 11, 2019 · RIA to affiliated broker-dealer or bank
- Deborah A Violette to Personal Capital Advisors CorporationFeb 7, 2019 · RIA to RIA
- Peter Keilman to Southstate Private Capital Management LLCAug 24, 2016 · Other
- Miyuki Kiyota to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 13, 2016 · Other
- Scott Alexander Watson to Schwab Wealth Advisory, Inc.May 20, 2016 · Other
- Andrew David Miller to Equitable Advisors, LLCNov 11, 2009 · Other
- Kristopher Patrick Kelley to Legacy Ridge Capital Management, LLCNov 15, 2005 · Other
Joined, latest
- Scott Conway from UBS Financial Services Inc.Aug 14, 2026 · Wirehouse to independent RIA
- Mark Jason Bosley from Advice And Planning ServicesJun 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- Greg Eric Graham from Advice And Planning ServicesJun 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tyler Hentges from Wambolt & Associates, LLCFeb 28, 2025 · RIA to RIA
- Antwann Holmes from Creative PlanningJul 27, 2023 · RIA to RIA
- Grace Geneva O'Mara from Cuso Financial Services, L.P.Nov 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- John Robert Goltermann from Highgate Securities InvestmentsSep 22, 2022 · Other
- Drew Mckinley Hayworth from Highgate Securities InvestmentsSep 22, 2022 · Other
- David Joseph Francis from Tlg Advisors, Inc.May 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- Devin D. Bebout from J.P. Morgan Securities LLCApr 12, 2022 · Wirehouse to independent RIA
- Andrew Neil Wyckoff from Fidelity Personal And Workplace AdvisorsApr 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- Nathaniel Francescato from Scottrade Investment ManagementJan 10, 2020 · Affiliated broker-dealer or bank to independent RIA
- Richard Charles Harrison from Advice And Planning ServicesApr 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- Kaitlin Elizabeth Bell from Charles Schwab & Co., Inc.Mar 15, 2017 · Other
- Antwann Holmes from Personal Capital Advisors CorporationJan 28, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Highgate Securities InvestmentsDec 31, 2022 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Shawn Kelly · Chief Compliance Officer And Presidentcontrolsince 01/2019 · owns 5% to 10%
- Lorenzo Anthony Schembri · Chief Operating Officercontrolsince 07/2026 · owns less than 5%
- Edward Jeffery Townsend · Ceocontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Westminster, Co · principal | 18 | 4 | 2 | ||
| Denver, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO2 employees
- Aspen, CO
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 11, 2026Schembri, Anthony, Lorenzo (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2011-12-19 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- account count surgeChange between filings · filing Mar 5, 2026accounts (Item 5.F.2.f) moved from 1,491.0 to 3,662.0 (+146.0%) between the annual amendments of 2025-03-02 and 2026-03-05; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Aug 14, 2026 to Sep 11, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 11, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 11, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 11, 2026
- Succession · false to unsetAug 14, 2026 to Sep 11, 2026
- Accounts · 1,491 to 3,662Oct 20, 2025 to Feb 9, 2026
- BD registered reps · 16 to 17Oct 20, 2025 to Feb 9, 2026
- HNW clients · 476 to 511Oct 20, 2025 to Feb 9, 2026
- Individual clients · 1,000 to 1,003Oct 20, 2025 to Feb 9, 2026
- Assets in custody · $76.9M to $12.6MOct 20, 2025 to Feb 9, 2026
- Employees · 28 to 30Oct 20, 2025 to Feb 9, 2026
- State-registered IARs · 15 to 16Oct 20, 2025 to Feb 9, 2026
- Discretionary RAUM · $1.3B to $1.5BOct 20, 2025 to Feb 9, 2026
- HNW RAUM · $904M to $1.1BOct 20, 2025 to Feb 9, 2026
- Individual RAUM · $372M to $433MOct 20, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $2.0M to $2.2MOct 20, 2025 to Feb 9, 2026
- RAUM · $1.3B to $1.5BOct 20, 2025 to Feb 9, 2026
- Accounts · 3,418 to 1,491Dec 24, 2024 to Mar 2, 2025
- Advisory employees · 13 to 11Dec 24, 2024 to Mar 2, 2025
- HNW clients · 465 to 476Dec 24, 2024 to Mar 2, 2025
- Individual clients · 956 to 1,000Dec 24, 2024 to Mar 2, 2025
- Assets in custody · $60.6M to $76.9MDec 24, 2024 to Mar 2, 2025
- Employees · 29 to 28Dec 24, 2024 to Mar 2, 2025
- Financial planning clients · More than 500 to More than 500Dec 24, 2024 to Mar 2, 2025
- State-registered IARs · 16 to 15Dec 24, 2024 to Mar 2, 2025
- Discretionary RAUM · $1.1B to $1.3BDec 24, 2024 to Mar 2, 2025
- HNW RAUM · $800M to $904MDec 24, 2024 to Mar 2, 2025
- Individual RAUM · $316M to $372MDec 24, 2024 to Mar 2, 2025
- Non-discretionary RAUM · $1.4M to $2.0MDec 24, 2024 to Mar 2, 2025
- RAUM · $1.1B to $1.3BDec 24, 2024 to Mar 2, 2025
- Accounts · 3,357 to 3,418Oct 23, 2023 to Mar 19, 2024
- HNW clients · 468 to 465Oct 23, 2023 to Mar 19, 2024
- Individual clients · 921 to 956Oct 23, 2023 to Mar 19, 2024
- Assets in custody · $75.7M to $60.6MOct 23, 2023 to Mar 19, 2024
- Other offices · 1 to 2Oct 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $990M to $1.1BOct 23, 2023 to Mar 19, 2024
- HNW RAUM · $713M to $800MOct 23, 2023 to Mar 19, 2024
- Individual RAUM · $278M to $316MOct 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $1.2M to $1.4MOct 23, 2023 to Mar 19, 2024
Signals
9 dated events
- Antwann Holmes left Townsend for J.P. Morgan Securities Llc (registered 2026-06-17)May 11, 2026 · Advisor changed firm · fact
- Nathaniel Francescato left Townsend for Tlg Advisors, Inc. (registered 2026-08-05)Oct 20, 2025 · Advisor changed firm · fact
- Grace Geneva O'Mara left Townsend for Nationwide Investment Advisors, Llc (registered 2025-01-07)Dec 19, 2024 · Advisor changed firm · fact
- Andrew Neil Wyckoff left Townsend for Northwestern Mutual Investment Services,Llc (registered 2026-01-07)Aug 7, 2023 · Advisor changed firm · fact
- 2 advisors left Highgate Securities Investments (Denver, CO) for Townsend on the same dayDec 31, 2022 · Team lift-out · derived
- Devin D. Bebout left Townsend for J.P. Morgan Securities Llc (registered 2022-12-21)Nov 4, 2022 · Advisor changed firm · fact
- Antwann Holmes left Townsend for Creative Planning (registered 2022-06-29)Nov 4, 2022 · Advisor changed firm · fact
- Townsend reported RAUM $707.5M, up 28% from $554.5M (2020-01-15 to 2020-02-29)Feb 29, 2020 · RAUM change · derived
- Townsend reported RAUM $559.8M, up 27% from $440.4M (2017-12-18 to 2018-03-12)Mar 12, 2018 · RAUM change · derived
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 phone
- 303-452-5986reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 303-452-5989reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-578-9896reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/TOWNSEND-RETIREMENT-SPECIALISTSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- 401KADVANTAGE.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-452-5986reportedpublic record, Form ADV, Sep 11, 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
- $84.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026