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.

Former SEC-registered adviser

Noven Financial Group, Inc.

Former SEC-registered adviserDenver, ColoradoCRD 117897SEC 801-65296IAPD
Latest filing Mar 9, 2020
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$299M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
96%
$287M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$299M as of Mar 9, 2020
Mar 28, 2012$137M then
HNW client RAUM$253M as of Mar 9, 2020
Mar 23, 2018$184M then
State-registered IARs (5.B.3)4 as of Mar 9, 2020
Mar 15, 20133 then
Employees (5.A)6 as of Mar 9, 2020
Mar 15, 20133 then
Private funds: no history
RAUM +25% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 9, 2020; every figure names its basis
RAUM per advisor
$74.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$310,319derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.1%derived
Compensation
percentage of assets, hourlyreportedItem 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$253M85%
  • Individuals$34.5M12%
  • Pension and profit-sharing plans$8.2M2.7%
  • Charitable organizations$1.6M0.5%
  • Corporations and businesses$1.4M0.5%
Individual clients
116reported
HNW clients
79reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
962reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
Joined, latest
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
    • Albert Daniel Noven · Presidentcontrol
      since 07/1995 · owns 75% or more
    • Monique Anjanette Phetteplace · Chief Compliance Officer
      since 01/2005 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Anjanette M. Phetteplace
      insurancen
    • Brian D. Chase
      insurancen
    • Daniel Albert Noven
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 870 to 962
      Mar 27, 2019 to Mar 9, 2020
    • HNW clients · 67 to 79
      Mar 27, 2019 to Mar 9, 2020
    • Individual clients · 115 to 116
      Mar 27, 2019 to Mar 9, 2020
    • Pension plan clients · 7 to 8
      Mar 27, 2019 to Mar 9, 2020
    • Discretionary RAUM · $212M to $273M
      Mar 27, 2019 to Mar 9, 2020
    • HNW RAUM · $189M to $253M
      Mar 27, 2019 to Mar 9, 2020
    • Individual RAUM · $41.4M to $34.5M
      Mar 27, 2019 to Mar 9, 2020
    • Non-discretionary RAUM · $26.8M to $25.9M
      Mar 27, 2019 to Mar 9, 2020
    • Pension RAUM · $6.7M to $8.2M
      Mar 27, 2019 to Mar 9, 2020
    • RAUM · $239M to $299M
      Mar 27, 2019 to Mar 9, 2020
    • Accounts · 913 to 870
      Mar 23, 2018 to Mar 27, 2019
    • Individual clients · 113 to 115
      Mar 23, 2018 to Mar 27, 2019
    • Pension plan clients · 8 to 7
      Mar 23, 2018 to Mar 27, 2019
    • Employees · 5 to 6
      Mar 23, 2018 to Mar 27, 2019
    • Discretionary RAUM · $205M to $212M
      Mar 23, 2018 to Mar 27, 2019
    • HNW RAUM · $184M to $189M
      Mar 23, 2018 to Mar 27, 2019
    • Individual RAUM · $34.9M to $41.4M
      Mar 23, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $34.9M to $26.8M
      Mar 23, 2018 to Mar 27, 2019
    • Pension RAUM · $10.1M to $6.7M
      Mar 23, 2018 to Mar 27, 2019
    • RAUM · $240M to $239M
      Mar 23, 2018 to Mar 27, 2019
    • Accounts · 979 to 913
      Mar 30, 2017 to Mar 23, 2018
    • HNW clients · unset to 67.0
      Mar 30, 2017 to Mar 23, 2018
    • Individual clients · unset to 113.0
      Mar 30, 2017 to Mar 23, 2018
    • Pension plan clients · unset to 8.0
      Mar 30, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Mar 23, 2018
    • Discretionary RAUM · $180M to $205M
      Mar 30, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 183670896.0
      Mar 30, 2017 to Mar 23, 2018
    • Individual RAUM · unset to 34850801.0
      Mar 30, 2017 to Mar 23, 2018
    • Non-discretionary RAUM · $33.5M to $34.9M
      Mar 30, 2017 to Mar 23, 2018
    • Pension RAUM · unset to 10050093.0
      Mar 30, 2017 to Mar 23, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 30, 2017 to Mar 23, 2018
    • RAUM · $213M to $240M
      Mar 30, 2017 to Mar 23, 2018
    • Accounts · 983 to 979
      Mar 29, 2016 to Mar 30, 2017
    • Discretionary RAUM · $181M to $180M
      Mar 29, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $35.4M to $33.5M
      Mar 29, 2016 to Mar 30, 2017
    • RAUM · $217M to $213M
      Mar 29, 2016 to Mar 30, 2017
    • Accounts · 916 to 983
      Nov 24, 2015 to Mar 29, 2016
    • Advisory employees · 3 to 4
      Nov 24, 2015 to Mar 29, 2016
    • Employees · 4 to 5
      Nov 24, 2015 to Mar 29, 2016
    • State-registered IARs · 3 to 4
      Nov 24, 2015 to Mar 29, 2016
    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.
    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