DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

R••• I•••••••••

Independent wealth managerBasalt, ColoradoCRD 115755SEC 801-60589website IAPD

Legal name R••• I••••••••• M••••••••• I•••

Latest filing Jul 15, 2026

First filing on the tape Mar 27, 2012 · 27 filings

SEC status approved since Mar 14, 2003

RAUM

$272M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$267M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$90.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$272M as of Jul 15, 2026

Mar 27, 2012$114M then

HNW client RAUM$255M as of Jul 15, 2026

Feb 20, 2018$139M then

State-registered IARs (5.B.3)3 as of Jul 15, 2026

Mar 27, 20120 then

Employees (5.A)6 as of Jul 15, 2026

Mar 20, 20132 then

Private funds: no history

RAUM +81% over the last fiscal year+22% a year over threeIARs 2 to 3

Practice profile

derived from the filing of Jul 15, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $90.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 46derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $710,269derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +81%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +17%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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

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$255M94%
Individuals$12.1M4.4%
Charitable organizations$4.8M1.8%

Individual clients: 37reported
HNW clients: 101reported
Pension plan clients: n/areported
Charitable clients: 5reported
Accounts: 383reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C••••••••• S••• R•••Chartered Financial Analyst	Basalt, Co	Apr 12, 2002	26 y	0
M•••••• A••••• O•••••	Basalt, Co	Apr 7, 2026	18 y	2
N•••••••• L•• K•••Chartered Financial Analyst	Basalt, Co	Apr 7, 2026	14 y	2

Advisor movement

0 left, 2 joined in 12 months

net +2 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

M•••••• A••••• O••••• from Y••• C•••• W••••• M••••••••• L••
Apr 7, 2026 · Other
N•••••••• L•• K••• from Y••• C•••• W••••• M••••••••• L••
Apr 7, 2026 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Y••• C•••• W••••• M••••••••• L••
Apr 17, 2026 · Carbondale, Co

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R•••• C••••••••• S••• · Presidentcontrol
since 08/2001 · 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
Basalt, Co · principal	3	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Apr 16, 2026
RAUM (Item 5.F) moved from $150,200,000 to $272,033,000 (+81.0%) between the annual amendments of 2025-03-07 and 2026-04-16; the peer median change was +15.0% (4548 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 4 to 3
Apr 16, 2026 to Jul 15, 2026
Employees · 7 to 6
Apr 16, 2026 to Jul 15, 2026
State-registered IARs · 4 to 3
Apr 16, 2026 to Jul 15, 2026
Accounts · 340 to 383
Mar 3, 2026 to Apr 16, 2026
Advisory employees · 2 to 4
Mar 3, 2026 to Apr 16, 2026
HNW clients · 76 to 101
Mar 3, 2026 to Apr 16, 2026
Individual clients · 31 to 37
Mar 3, 2026 to Apr 16, 2026
Employees · 5 to 7
Mar 3, 2026 to Apr 16, 2026
State-registered IARs · 2 to 4
Mar 3, 2026 to Apr 16, 2026
Discretionary RAUM · $225M to $272M
Mar 3, 2026 to Apr 16, 2026
HNW RAUM · $227M to $255M
Mar 3, 2026 to Apr 16, 2026
Individual RAUM · $8.5M to $12.1M
Mar 3, 2026 to Apr 16, 2026
Non-discretionary RAUM · $16.1M to $0
Mar 3, 2026 to Apr 16, 2026
RAUM · $241M to $272M
Mar 3, 2026 to Apr 16, 2026
Accounts · 330 to 340
Jul 8, 2025 to Mar 3, 2026
HNW clients · 107 to 76
Jul 8, 2025 to Mar 3, 2026
Individual clients · 14 to 31
Jul 8, 2025 to Mar 3, 2026
Employees · 4 to 5
Jul 8, 2025 to Mar 3, 2026
Discretionary RAUM · $195M to $225M
Jul 8, 2025 to Mar 3, 2026
HNW RAUM · $199M to $227M
Jul 8, 2025 to Mar 3, 2026
Individual RAUM · $3.7M to $8.5M
Jul 8, 2025 to Mar 3, 2026
Non-discretionary RAUM · $13.0M to $16.1M
Jul 8, 2025 to Mar 3, 2026
RAUM · $208M to $241M
Jul 8, 2025 to Mar 3, 2026
Accounts · 326 to 330
May 7, 2025 to Jul 8, 2025
HNW clients · 103 to 107
May 7, 2025 to Jul 8, 2025
Financial planning clients · 0 to 0
May 7, 2025 to Jul 8, 2025
Discretionary RAUM · $175M to $195M
May 7, 2025 to Jul 8, 2025
HNW RAUM · $175M to $199M
May 7, 2025 to Jul 8, 2025
Non-discretionary RAUM · $9.0M to $13.0M
May 7, 2025 to Jul 8, 2025
RAUM · $184M to $208M
May 7, 2025 to Jul 8, 2025
Accounts · 123 to 326
Mar 7, 2025 to May 7, 2025
HNW clients · 105 to 103
Mar 7, 2025 to May 7, 2025
Individual clients · 13 to 14
Mar 7, 2025 to May 7, 2025
Discretionary RAUM · $136M to $175M
Mar 7, 2025 to May 7, 2025
HNW RAUM · $141M to $175M
Mar 7, 2025 to May 7, 2025
Individual RAUM · $3.4M to $3.7M
Mar 7, 2025 to May 7, 2025
Non-discretionary RAUM · $14.6M to $9.0M
Mar 7, 2025 to May 7, 2025
RAUM · $150M to $184M
Mar 7, 2025 to May 7, 2025
Accounts · 134 to 123
Mar 12, 2024 to Mar 7, 2025
HNW clients · 113 to 105
Mar 12, 2024 to Mar 7, 2025

Signals

1 dated events

2 advisors left Y••• C•••• W••••• M••••••••• L•• (Carbondale, CO) for R••• I••••••••• on the same day
Apr 17, 2026 · Team lift-out · 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: 970-429-1100reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 970-429-9495reportedpublished by the firm, firm site, Sep 17, 2026
Website: R•••INVEST.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 970-429-1100reportedpublic record, Form ADV, Jul 15, 2026
Contact form: r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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: $90.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026