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
F•••••••• C••••••••• A••••••••• I••
Legal name F•••••••• C••••••••• A••••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Jan 28, 2014 · 17 filings
SEC status approved since Feb 5, 2014
RAUM
$104M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$96.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$104M as of Feb 4, 2026
Jan 7, 2015$140M then
HNW client RAUM$66.0M as of Feb 4, 2026
Mar 22, 2018$58.0M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Jan 7, 20153 then
Employees (5.A)2 as of Feb 4, 2026
Jan 7, 20153 then
Private funds: no history
RAUM +12% over the last fiscal year-26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 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
- RAUM per advisor
- $51.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $821,587derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.0M64%
- Individuals$30.9M30%
- Pension and profit-sharing plans$6.7M6.4%
- Individual clients
- 103reported
- HNW clients
- 22reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 126reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• K•••• | Aurora, Co | Jan 1, 1999 | 36 y | 0 |
| E•••• A•• M•••••• | Aurora, Co | Jun 29, 2021 | 10 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 headcount2 left over 36 months
Left, latest
- M•••••• J••••• R••••• to F••• F•••••••• I•••Jun 13, 2024 · RIA to RIA
- J••••• L•••• R••••• to F••• F•••••••• I•••Jun 13, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••• F•••••••• I•••Jun 13, 2024 · Golden, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••• J••••• · Ownercontrolsince 02/1993 · owns 75% or more
- M••••••• E••••• A•• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Aurora, Co | 2 | 0 | 0 | ||
| Golden, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Aurora, CO1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 129 to 126Feb 6, 2025 to Feb 4, 2026
- Individual clients · 107 to 103Feb 6, 2025 to Feb 4, 2026
- Pension plan clients · 0 to 1Feb 6, 2025 to Feb 4, 2026
- Discretionary RAUM · $86.4M to $96.8MFeb 6, 2025 to Feb 4, 2026
- HNW RAUM · $63.0M to $66.0MFeb 6, 2025 to Feb 4, 2026
- Individual RAUM · $29.1M to $30.9MFeb 6, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $5.7M to $6.7MFeb 6, 2025 to Feb 4, 2026
- Pension RAUM · unset to 6670000.0Feb 6, 2025 to Feb 4, 2026
- RAUM · $92.1M to $104MFeb 6, 2025 to Feb 4, 2026
- Accounts · 170 to 129Jun 27, 2024 to Feb 6, 2025
- Individual clients · 148 to 107Jun 27, 2024 to Feb 6, 2025
- Financial planning clients · 101-250 to 101-250Jun 27, 2024 to Feb 6, 2025
- HQ city · unset to Jun 27, 2024 to Feb 6, 2025
- HQ state · unset to Jun 27, 2024 to Feb 6, 2025
- Discretionary RAUM · $102M to $86.4MJun 27, 2024 to Feb 6, 2025
- HNW RAUM · $65.0M to $63.0MJun 27, 2024 to Feb 6, 2025
- Individual RAUM · $42.2M to $29.1MJun 27, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $5.2M to $5.7MJun 27, 2024 to Feb 6, 2025
- RAUM · $107M to $92.1MJun 27, 2024 to Feb 6, 2025
- Accounts · 363 to 170Feb 16, 2024 to Jun 27, 2024
- Advisory employees · 4 to 2Feb 16, 2024 to Jun 27, 2024
- Charity clients · 1 to 0Feb 16, 2024 to Jun 27, 2024
- HNW clients · 80 to 22Feb 16, 2024 to Jun 27, 2024
- Individual clients · 363 to 148Feb 16, 2024 to Jun 27, 2024
- Pension plan clients · 4 to 0Feb 16, 2024 to Jun 27, 2024
- Employees · 4 to 2Feb 16, 2024 to Jun 27, 2024
- Financial planning clients · 251-500 to 101-250Feb 16, 2024 to Jun 27, 2024
- State-registered IARs · 4 to 2Feb 16, 2024 to Jun 27, 2024
- Discretionary RAUM · $272M to $102MFeb 16, 2024 to Jun 27, 2024
- HNW RAUM · $100M to $65.0MFeb 16, 2024 to Jun 27, 2024
- Individual RAUM · $169M to $42.2MFeb 16, 2024 to Jun 27, 2024
- Non-discretionary RAUM · $21.3M to $5.2MFeb 16, 2024 to Jun 27, 2024
- Pension RAUM · 21300000.0 to unsetFeb 16, 2024 to Jun 27, 2024
- RAUM · $293M to $107MFeb 16, 2024 to Jun 27, 2024
- Accounts · 324 to 363Oct 18, 2023 to Feb 16, 2024
- HNW clients · 50 to 80Oct 18, 2023 to Feb 16, 2024
- Individual clients · 270 to 363Oct 18, 2023 to Feb 16, 2024
- Pension plan clients · 3 to 4Oct 18, 2023 to Feb 16, 2024
- Financial planning clients · 101-250 to 251-500Oct 18, 2023 to Feb 16, 2024
- Discretionary RAUM · $238M to $272MOct 18, 2023 to Feb 16, 2024
Signals
7 dated events
- Joseph Matthew Rillos (Cco) no longer on Schedule A of F•••••••• C••••••••• A••••••••• I•• (listed 2024-02-16, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- Ann E•••• M•••••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• C••••••••• A••••••••• I••Jun 27, 2024 · Control person joined · fact
- F•••••••• C••••••••• A••••••••• I•• reported RAUM $107.2M, down 63% from $293.0M (2024-02-16 to 2024-06-27)Jun 27, 2024 · RAUM change · derived
- J••••• L•••• R••••• left F•••••••• C••••••••• A••••••••• I•• for F••• F•••••••• I••• (registered 2025-11-10)Jun 13, 2024 · Advisor changed firm · fact
- M•••••• J••••• R••••• left F•••••••• C••••••••• A••••••••• I•• for F••• F•••••••• I••• (registered 2024-04-08)Jun 13, 2024 · Advisor changed firm · fact
- 2 advisors left F•••••••• C••••••••• A••••••••• I•• (Golden, CO) for F••• F•••••••• I••• on the same dayJun 13, 2024 · Team lift-out · derived
- F•••••••• C••••••••• A••••••••• I•• filed its initial SEC registration (Form ADV)Jan 28, 2014 · 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
- teamfca@fca-inc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-810-7007reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FCA-INC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 720-272-4419reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- fca-inc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- fca-inc.com/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
- $51.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026