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••••••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Jun 3, 2004
RAUM
$181M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
93%
$169M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$181M as of Mar 24, 2026
Mar 28, 2012$123M then
HNW client RAUM$144M as of Mar 24, 2026
Mar 5, 2018$108M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 28, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Mar 27, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $695,520derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $43.1M, 46 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)
- 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$144M85%
- Individuals$25.0M15%
- Charitable organizations$1.0M0.6%
- Corporations and businesses$373,9350.2%
- Individual clients
- 57reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 260reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.1M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| D•••• D••••••Certified Financial Planner, Chartered Financial Analyst | Boulder, Co | Mar 20, 2017 | 33 y | 1 |
| D••••• E•••• C••••••Certified Financial Planner | Boulder, Co | Oct 21, 2025 | 35 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••• C•••••• E•••••• to U••••• F••••••••Mar 31, 2021 · RIA to a state-registered adviser
Joined, latest
- D••••• E•••• C•••••• from C••••••••• L••Oct 21, 2025 · Other
- D••• C•••••• E•••••• from T•••••• C••••••• I•••Sep 9, 2019 · RIA to RIA
- D•••• D•••••• from P•••••••• I••••••••• M••••••••• • W••••• A•••••••• L••Mar 20, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••••• E•••• · Membercontrolsince 09/2001 · owns 25% to 50%
- D••••••• D•••• · Member/Chief Compliance Officercontrolsince 09/2001 · owns 50% to 75%
- R••••••••• R•••• C••••• · Membersince 01/2010 · owns less than 5%
- Y•••••• T•••••• T••• · Membersince 09/2001 · 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 |
|---|---|---|---|---|---|
| Boulder, Co · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 250 to 260Mar 27, 2025 to Mar 24, 2026
- HNW clients · 56 to 58Mar 27, 2025 to Mar 24, 2026
- Individual clients · 58 to 57Mar 27, 2025 to Mar 24, 2026
- Assets in custody · $23.7M to $43.1MMar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $116M to $141MMar 27, 2025 to Mar 24, 2026
- HNW RAUM · $118M to $144MMar 27, 2025 to Mar 24, 2026
- Individual RAUM · $24.6M to $25.0MMar 27, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $37.0M to $39.7MMar 27, 2025 to Mar 24, 2026
- RAUM · $153M to $181MMar 27, 2025 to Mar 24, 2026
- Accounts · 268 to 250Mar 25, 2024 to Mar 27, 2025
- Individual clients · 67 to 58Mar 25, 2024 to Mar 27, 2025
- Assets in custody · $20.7M to $23.7MMar 25, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $111M to $116MMar 25, 2024 to Mar 27, 2025
- HNW RAUM · $107M to $118MMar 25, 2024 to Mar 27, 2025
- Individual RAUM · $30.4M to $24.6MMar 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $36.8M to $37.0MMar 25, 2024 to Mar 27, 2025
- RAUM · $147M to $153MMar 25, 2024 to Mar 27, 2025
- Accounts · 272 to 268Mar 29, 2023 to Mar 25, 2024
- HNW clients · 55 to 56Mar 29, 2023 to Mar 25, 2024
- Individual clients · 73 to 67Mar 29, 2023 to Mar 25, 2024
- Assets in custody · $19.2M to $20.7MMar 29, 2023 to Mar 25, 2024
- Financial planning clients · 11-25 to 1-10Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $93.3M to $111MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $93.9M to $107MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $26.1M to $30.4MMar 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $35.4M to $36.8MMar 29, 2023 to Mar 25, 2024
- RAUM · $129M to $147MMar 29, 2023 to Mar 25, 2024
- Accounts · 259 to 272Mar 22, 2022 to Mar 29, 2023
- Corporate clients · 2 to 1Mar 22, 2022 to Mar 29, 2023
- HNW clients · 56 to 55Mar 22, 2022 to Mar 29, 2023
- Individual clients · 69 to 73Mar 22, 2022 to Mar 29, 2023
- Assets in custody · $27.0M to $19.2MMar 22, 2022 to Mar 29, 2023
- Financial planning clients · 26-50 to 11-25Mar 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $93.6M to $93.3MMar 22, 2022 to Mar 29, 2023
- HNW RAUM · $105M to $93.9MMar 22, 2022 to Mar 29, 2023
- Individual RAUM · $24.9M to $26.1MMar 22, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $46.1M to $35.4MMar 22, 2022 to Mar 29, 2023
- RAUM · $140M to $129MMar 22, 2022 to Mar 29, 2023
- Accounts · 408 to 259Apr 7, 2021 to Mar 22, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C••••••••• I••••••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-545-5400reportedpublic record, Form ADV, Mar 24, 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
- $90.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026