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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Former SEC-registered adviser

T•• R••••••••• P••••••• S••••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 116858SEC 801-81183IAPD
Latest filing Dec 7, 2021
First filing on the tape Mar 14, 2012 · 20 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$187M as of Mar 5, 2021
Mar 14, 2012$76.0M then
HNW client RAUM$119M as of Mar 5, 2021
Feb 14, 2018$83.9M then
State-registered IARs (5.B.3)2 as of Mar 5, 2021
Mar 14, 20120 then
Employees (5.A)4 as of Mar 5, 2021
Jan 27, 20162 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Dec 7, 2021; every figure names its basis
RAUM per advisor
$93.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
145derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$234,456derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$4.7MreportedItem 5.I
Custody
$32.3M, 39 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$119M64%
  • Individuals$67.8M36%
Individual clients
232reported
HNW clients
57reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
799reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$32.3M for 39 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• S•••• F••••••• · Managing Member, Chief Compliance Officer, Certified Financial Plannercontrol
      since 06/1997 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Wrap assets (manager) · unset to 0.0
      Mar 5, 2021 to May 3, 2021
    • Wrap assets (sponsor) · unset to 0.0
      Mar 5, 2021 to May 3, 2021
    • Accounts · 764 to 799
      Jul 30, 2020 to Mar 5, 2021
    • HNW clients · 53 to 57
      Jul 30, 2020 to Mar 5, 2021
    • Individual clients · 223 to 232
      Jul 30, 2020 to Mar 5, 2021
    • Assets in custody · $35.2M to $32.3M
      Jul 30, 2020 to Mar 5, 2021
    • Financial planning clients · 26-50 to 51-100
      Jul 30, 2020 to Mar 5, 2021
    • Discretionary RAUM · $165M to $186M
      Jul 30, 2020 to Mar 5, 2021
    • HNW RAUM · $102M to $119M
      Jul 30, 2020 to Mar 5, 2021
    • Individual RAUM · $62.8M to $67.8M
      Jul 30, 2020 to Mar 5, 2021
    • Non-discretionary RAUM · $0 to $921,197
      Jul 30, 2020 to Mar 5, 2021
    • RAUM · $165M to $187M
      Jul 30, 2020 to Mar 5, 2021
    • Accounts · 708 to 764
      May 1, 2019 to Mar 28, 2020
    • HNW clients · 49 to 53
      May 1, 2019 to Mar 28, 2020
    • Individual clients · 230 to 223
      May 1, 2019 to Mar 28, 2020
    • Assets in custody · $44.0M to $35.2M
      May 1, 2019 to Mar 28, 2020
    • Employees · 3 to 4
      May 1, 2019 to Mar 28, 2020
    • Discretionary RAUM · $138M to $165M
      May 1, 2019 to Mar 28, 2020
    • HNW RAUM · $78.6M to $102M
      May 1, 2019 to Mar 28, 2020
    • Individual RAUM · $58.9M to $62.8M
      May 1, 2019 to Mar 28, 2020
    • RAUM · $138M to $165M
      May 1, 2019 to Mar 28, 2020
    • Accounts · 634 to 708
      Oct 3, 2018 to Feb 5, 2019
    • HNW clients · 44 to 49
      Oct 3, 2018 to Feb 5, 2019
    • Individual clients · 197 to 230
      Oct 3, 2018 to Feb 5, 2019
    • Discretionary RAUM · $137M to $138M
      Oct 3, 2018 to Feb 5, 2019
    • HNW RAUM · $83.9M to $78.6M
      Oct 3, 2018 to Feb 5, 2019
    • Individual RAUM · $52.9M to $58.9M
      Oct 3, 2018 to Feb 5, 2019
    • RAUM · $137M to $138M
      Oct 3, 2018 to Feb 5, 2019
    • Accounts · 602 to 634
      Jul 19, 2017 to Feb 14, 2018
    • Advisory employees · 1 to 2
      Jul 19, 2017 to Feb 14, 2018
    • HNW clients · unset to 44.0
      Jul 19, 2017 to Feb 14, 2018
    • Individual clients · unset to 197.0
      Jul 19, 2017 to Feb 14, 2018
    • Assets in custody · unset to 44018483.0
      Jul 19, 2017 to Feb 14, 2018
    • Custody of client assets · false to true
      Jul 19, 2017 to Feb 14, 2018
    • State-registered IARs · 1 to 2
      Jul 19, 2017 to Feb 14, 2018
    • Other offices · unset to 0.0
      Jul 19, 2017 to Feb 14, 2018
    • Discretionary RAUM · $116M to $137M
      Jul 19, 2017 to Feb 14, 2018
    • HNW RAUM · unset to 83892427.0
      Jul 19, 2017 to Feb 14, 2018
    • Individual RAUM · unset to 52891080.0
      Jul 19, 2017 to Feb 14, 2018
    • RAUM · $116M to $137M
      Jul 19, 2017 to Feb 14, 2018
    Signals
    4 dated events
    • M•••••• J••• B••••••• left T•• R••••••••• P••••••• S••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2022-01-12)
      Mar 3, 2022 · Advisor changed firm · fact
    • S••• F••••••• C••••• left T•• R••••••••• P••••••• S••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2022-01-20)
      Mar 3, 2022 · Advisor changed firm · fact
    • 2 advisors left T•• R••••••••• P••••••• S••••••••• L•• (Greenwood Village, CO) for B••••• P••••• A•••••••• L•• on the same day
      Mar 3, 2022 · Team lift-out · derived
    • T•• R••••••••• P••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 18, 2015 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026