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

C•••••••• F•••••••• A•••••••• L••

Former SEC-registered adviserSalida, ColoradoCRD 118314SEC 801-129597IAPD
Latest filing Sep 17, 2024
First filing on the tape Jan 30, 2024 · 6 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$111M as of Jul 5, 2024
Jan 30, 2024$111M then
HNW client RAUM$0 as of Sep 17, 2024
Jan 30, 2024$67.4M then
State-registered IARs (5.B.3)3 as of Sep 17, 2024
Jan 30, 20243 then
Employees (5.A)3 as of Sep 17, 2024
Jan 30, 20243 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• A•• B•••S•••••, CoSep 5, 201418 y0
P•••• L••••• G••••••Buena Vista, Co Oct 27, 201411 y0
J••• E• F••Chartered Financial ConsultantLexington, Ky Sep 24, 202127 y0
M•••••• R••••• S•••Buena Vista, Co Jan 2, 202516 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• R••••• A•• · Owner And Chief Compliance Officercontrol
    since 07/2015 · owns 25% to 50%
  • F••• J•••• E• · Ownercontrol
    since 10/2022 · owns 25% to 50%
  • G••••••• P••••• L••••• · Ownercontrol
    since 01/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••••• F•••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
S•••••, Co · principal400
Buena Vista, Co200
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • HNW clients · 32 to 0
    Aug 19, 2024 to Sep 17, 2024
  • Individual clients · 95 to 0
    Aug 19, 2024 to Sep 17, 2024
  • Accounts · 508.0 to unset
    Jul 5, 2024 to Aug 19, 2024
  • Charity clients · unset to 0.0
    Jul 5, 2024 to Aug 19, 2024
  • Discretionary RAUM · 0.0 to unset
    Jul 5, 2024 to Aug 19, 2024
  • HNW RAUM · $67.4M to $0
    Jul 5, 2024 to Aug 19, 2024
  • Individual RAUM · $43.9M to $0
    Jul 5, 2024 to Aug 19, 2024
  • Non-discretionary RAUM · 111245748.0 to unset
    Jul 5, 2024 to Aug 19, 2024
  • RAUM · 111245748.0 to unset
    Jul 5, 2024 to Aug 19, 2024
Signals
2 dated events
  • C•••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 30, 2024 · First SEC registration · fact
  • C••••••••• M•••••• M••••• left C•••••••• F•••••••• A•••••••• L•• for S••••• F•••••••• A••••• A•• P••••••• (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
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
Website
C••••••••FINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
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