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
C•••••• I••••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Nov 17, 2011 · 23 filings
SEC status approved since Sep 6, 2001
RAUM
$2.9B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
63%
$1.8B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$974M
derived; firm RAUM over IAPD count
Employees
28
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.9B as of Aug 3, 2026
Mar 30, 2012$6.6B then
HNW client RAUM$624M as of Aug 3, 2026
Mar 27, 2018$1.7B then
State-registered IARs (5.B.3)3 as of Aug 3, 2026
Mar 30, 20120 then
Employees (5.A)28 as of Aug 3, 2026
Mar 21, 201338 then
Private funds: 1
RAUM -10% over the last fiscal year-5.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $974MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,751derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $519,903derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $318M, 1 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.2B41%
- High-net-worth individuals$624M21%
- Investment companies$622M21%
- Corporations and businesses$165M5.6%
- Pension and profit-sharing plans$133M4.5%
- Charitable organizations$93.4M3.2%
- State and municipal entities$79.6M2.7%
- Insurance companies$388,9980.0%
- Individual clients
- 5,003reported
- HNW clients
- 251reported
- Pension plan clients
- 86reported
- Charitable clients
- 65reported
- Accounts
- 5,623reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $517M managedreported
- Custody of client assets
- $318M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.63 fund_share=0.21 institutional_share=0.1 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• M•••••• F••••••••• | Denver, Co | Mar 13, 2007 | 30 y | 1 |
| J••• L• | Denver, Co | Oct 16, 2007 | 21 y | 0 |
| B•••• M••••••• B•••••Chartered Financial Analyst | Denver, Co | Jan 2, 2026 | 33 y | 0 |
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
Left, latest
- C••• G•••• M••••••• to C•••••• S••••• • C••• I•••Sep 1, 2021 · RIA to affiliated broker-dealer or bank
- J•••••• H• S••••• to J••• M••••• S••••••••• L••Oct 24, 2018 · RIA to wirehouse
Joined, latest
- C••• G•••• M••••••• from O•• M••••• C••••••Jun 23, 2011 · Other
- K•••• M•••••• F••••••••• from C•••••••• G••••• M•••••• I•••Mar 13, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• F••• | $318M | 1 | Aug 3, 2026 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• M••••••• · President/Chief Investment Officercontrolsince 07/2001 · owns less than 5%
- F••••••••• K••••• M•••••• · Executive Director - Institutional Sales & Client Servicecontrolsince 01/2026 · owns less than 5%
- G••••••••• E••• · Chief Legal Officercontrolsince 06/2014 · owns less than 5%
- H••••••••• R•••••••• V•• · Director/Director Of Tradingcontrolsince 05/2004 · owns less than 5%
- L••••••••• E•••• K••••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- N•••••••• J•••••••• D•••• · Director - Tradingcontrolsince 01/2026 · owns less than 5%
- S••••• C••••••••• M•••••••• · Executive Directorcontrolsince 01/2002 · owns less than 5%
- B•••••• B••••• M••••••• · General & Limited Partnercontrolsince 07/2001 · owns 75% or more of C•••••• H•••••••• L•••
Entity owners
- C•••••• H•••••••• L••• · Class A Member (Managing Member)direct · owns 75% or more
Related persons
Schedule D 7.A
- G••••••• C••••••• L•investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 3, 2026private clients per advisor of 1,751.3 against a peer median of 64.5 (1151 comparable advisers, 100.0th percentile, 41.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 100% percentile
- very high RAUM per advisorStatic outlier · filing Aug 3, 2026RAUM per registered advisor of $974,470,702 against a peer median of $146,690,280 (1222 comparable advisers, 99.0th percentile, 8.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 99% percentile
- control person changedChange between filings · filing Aug 3, 2026G••••••••• E••• (CHIEF LEGAL OFFICER) left Schedule A between the filings of 2023-01-19 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026N•••••••• J•••••••• D•••• (DIRECTOR - TRADING) appeared on Schedule A between the filings of 2023-01-19 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026F••••••••• K••••• M•••••• (EXECUTIVE DIRECTOR - INSTITUTIONAL SALES & CLIENT SERVICE) appeared on Schedule A between the filings of 2023-01-19 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Aug 3, 2026advises private funds (Item 7.B): no on the filing of 2026-03-30, yes on the filing of 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026S••••• C••••••••• M•••••••• (EXECUTIVE DIRECTOR) left Schedule A between the filings of 2023-01-19 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Aug 3, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-30, yes on the filing of 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026H••••••••• R•••••••• V•• (DIRECTOR/DIRECTOR OF TRADING) left Schedule A between the filings of 2023-01-19 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Assets in custody · unset to 318040625.0Mar 30, 2026 to Aug 3, 2026
- Custody of client assets · false to trueMar 30, 2026 to Aug 3, 2026
- Private funds · unset to 1Mar 30, 2026 to Aug 3, 2026
- Accounts · 6,627 to 5,623Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 11 to 8Mar 31, 2025 to Mar 30, 2026
- Advisory activities · 4 to 5Mar 31, 2025 to Mar 30, 2026
- BD registered reps · 4 to 3Mar 31, 2025 to Mar 30, 2026
- Charity clients · 75 to 65Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 225 to 197Mar 31, 2025 to Mar 30, 2026
- HNW clients · 219 to 251Mar 31, 2025 to Mar 30, 2026
- Individual clients · 5,974 to 5,003Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 103 to 86Mar 31, 2025 to Mar 30, 2026
- Employees · 36 to 28Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 3Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.5BMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $568M to $624MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $1.3B to $1.2BMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.5B to $1.4BMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $196M to $133MMar 31, 2025 to Mar 30, 2026
- RAUM · $3.3B to $2.9BMar 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $599M to $517MMar 31, 2025 to Mar 30, 2026
- Accounts · 7,031 to 6,627Mar 21, 2024 to Mar 31, 2025
- Advisory activities · 3 to 4Mar 21, 2024 to Mar 31, 2025
- BD registered reps · 6 to 4Mar 21, 2024 to Mar 31, 2025
- Charity clients · 84 to 75Mar 21, 2024 to Mar 31, 2025
- Corporate clients · 276 to 225Mar 21, 2024 to Mar 31, 2025
- HNW clients · 197 to 219Mar 21, 2024 to Mar 31, 2025
- Individual clients · 6,338 to 5,974Mar 21, 2024 to Mar 31, 2025
- Assets in custody · 2595712.0 to unsetMar 21, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 21, 2024 to Mar 31, 2025
- Employees · 39 to 36Mar 21, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 31, 2025
- State-registered IARs · 8 to 4Mar 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.9B to $1.7BMar 21, 2024 to Mar 31, 2025
- HNW RAUM · $510M to $568MMar 21, 2024 to Mar 31, 2025
- Individual RAUM · $1.4B to $1.3BMar 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.5B to $1.5BMar 21, 2024 to Mar 31, 2025
- Pension RAUM · $191M to $196MMar 21, 2024 to Mar 31, 2025
- RAUM · $3.4B to $3.3BMar 21, 2024 to Mar 31, 2025
- Wrap assets (manager) · $632M to $599MMar 21, 2024 to Mar 31, 2025
Signals
4 dated events
- C•••••• I••••••••• L•• reported RAUM $3.5B, down 39% from $5.7B (2023-01-19 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- Kathleen Erin Laffrenzen (Chief Compliance Officer) appeared on Schedule A of C•••••• I••••••••• L••Jan 19, 2023 · Control person joined · fact
- Holmes Nancy Wigton (Executive Director/Director Of Marketing) no longer on Schedule A of C•••••• I••••••••• L•• (listed 2021-03-29, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- C•••••• I••••••••• L•• reported RAUM $6.4B, down 31% from $9.4B (2020-06-09 to 2021-03-29)Mar 29, 2021 · 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
- 866-777-8227reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-673-9950reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-INVESTORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cambiar.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-673-9950reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- cambiar.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cambiar.com/peoplereportedpublished by the firm, firm site, Sep 15, 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
- $974Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026