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
P••• F•••••••• A•••••••
Legal name P••• F•••••••• A•••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Feb 7, 2012 · 24 filings
SEC status approved since Sep 10, 2001
RAUM
$269M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$263M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$269M as of Mar 3, 2026
Feb 7, 2012$75.0M then
HNW client RAUM$243M as of Mar 3, 2026
Mar 30, 2018$138M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 7, 20120 then
Employees (5.A)3 as of Mar 3, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +6.7% over the last fiscal year+7.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $657,093derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M90%
- Individuals$20.1M7.5%
- Charitable organizations$4.7M1.7%
- Corporations and businesses$1.3M0.5%
- Individual clients
- 50reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 409reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• T•••••• S••••Certified Financial Planner | Denver, Co | Jan 1, 1999 | 31 y | 0 |
| D••••• J•••••• F••••••Certified Financial Planner | Denver, Co | Jan 30, 2012 | 20 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• D•••••• J•••••• · Partner, Director Of Tax And Financial Planningcontrolsince 01/2017 · owns 5% to 10%
- H•••••••• L•••••••• E•••••••• · Chief Compliance Officercontrolsince 05/2001 · owns less than 5%
- S••••• B••••• T•••••• · Majority Owner, Managing Partner, Chief Investment Officercontrolsince 05/1997 · 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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 3, 2026 to Sep 9, 2026
- Succession · false to unsetMar 3, 2026 to Sep 9, 2026
- Accounts · 402 to 409Jan 30, 2025 to Mar 3, 2026
- Individual clients · 55 to 50Jan 30, 2025 to Mar 3, 2026
- Employees · 4 to 3Jan 30, 2025 to Mar 3, 2026
- Discretionary RAUM · $250M to $267MJan 30, 2025 to Mar 3, 2026
- HNW RAUM · $228M to $243MJan 30, 2025 to Mar 3, 2026
- Individual RAUM · $21.1M to $20.1MJan 30, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $1.5M to $1.4MJan 30, 2025 to Mar 3, 2026
- RAUM · $252M to $269MJan 30, 2025 to Mar 3, 2026
- Accounts · 403 to 402Mar 22, 2024 to Jan 30, 2025
- Corporate clients · 0 to 1Mar 22, 2024 to Jan 30, 2025
- HNW clients · 78 to 70Mar 22, 2024 to Jan 30, 2025
- Individual clients · 46 to 55Mar 22, 2024 to Jan 30, 2025
- Employees · 3 to 4Mar 22, 2024 to Jan 30, 2025
- Financial planning clients · 101-250 to 101-250Mar 22, 2024 to Jan 30, 2025
- Discretionary RAUM · $227M to $250MMar 22, 2024 to Jan 30, 2025
- HNW RAUM · $209M to $228MMar 22, 2024 to Jan 30, 2025
- Individual RAUM · $19.9M to $21.1MMar 22, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $3.5M to $1.5MMar 22, 2024 to Jan 30, 2025
- RAUM · $230M to $252MMar 22, 2024 to Jan 30, 2025
- Accounts · 408 to 403Aug 11, 2023 to Feb 14, 2024
- Individual clients · 48 to 46Aug 11, 2023 to Feb 14, 2024
- Discretionary RAUM · $208M to $227MAug 11, 2023 to Feb 14, 2024
- HNW RAUM · $204M to $209MAug 11, 2023 to Feb 14, 2024
- Individual RAUM · $10.7M to $19.9MAug 11, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $7.5M to $3.5MAug 11, 2023 to Feb 14, 2024
- RAUM · $216M to $230MAug 11, 2023 to Feb 14, 2024
- Accounts · 393 to 408Mar 4, 2022 to Mar 2, 2023
- HNW clients · 75 to 78Mar 4, 2022 to Mar 2, 2023
- Individual clients · 50 to 48Mar 4, 2022 to Mar 2, 2023
- Discretionary RAUM · $222M to $208MMar 4, 2022 to Mar 2, 2023
- HNW RAUM · $210M to $204MMar 4, 2022 to Mar 2, 2023
- Individual RAUM · $12.5M to $10.7MMar 4, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $1.7M to $7.5MMar 4, 2022 to Mar 2, 2023
- RAUM · $224M to $216MMar 4, 2022 to Mar 2, 2023
- Accounts · 375 to 393Feb 24, 2021 to Mar 4, 2022
- HNW clients · 68 to 75Feb 24, 2021 to Mar 4, 2022
- Individual clients · 59 to 50Feb 24, 2021 to Mar 4, 2022
- Financial planning clients · 51-100 to 101-250Feb 24, 2021 to Mar 4, 2022
Signals
No event on the tape.
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
- 303-316-2799reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-316-2799reportedpublic record, Form ADV, Sep 9, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026