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

Autus Asset Management, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 118439SEC 801-62176IAPD
Latest filing Oct 21, 2022
First filing on the tape Mar 20, 2012 · 26 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.4B as of Jan 27, 2022
Mar 20, 2012$245M then
HNW client RAUM$1.1B as of Jan 27, 2022
Mar 29, 2018$380M then
State-registered IARs (5.B.3)9 as of Jan 27, 2022
Mar 21, 20136 then
Employees (5.A)12 as of Jan 27, 2022
Mar 21, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 9 to 9offices 0 to 1
Practice profile
derived from the filing of Oct 21, 2022; every figure names its basis
RAUM per advisor
$160MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
267derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$964,595derivedHNW RAUM over HNW clients
Average account
$597,794derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$1.1B74%
  • Individuals$322M22%
  • Other investment advisers$31.1M2.2%
  • Charitable organizations$21.5M1.5%
  • Pension and profit-sharing plans$4.7M0.3%
Individual clients
1,303reported
HNW clients
1,099reported
Pension plan clients
1reported
Charitable clients
4reported
Accounts
2,407reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
  • Steven Donald Cuppy · Membercontrol
    since 06/2007 · owns 25% to 50%
  • Andrew Mark Fiedler · Managing Membercontrol
    since 12/2001 · owns 25% to 50%
  • Christopher Kipp Goll · Membercontrol
    since 01/2005 · owns 25% to 50%
  • Leslie John Stull · Member/Chief Compliance Officercontrol
    since 01/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Durango, CO1 employees
What changed
consecutive filings, newest first
  • Employees · 9 to 12
    Jul 19, 2021 to Jan 27, 2022
  • Accounts · 2,258 to 2,407
    Jul 19, 2021 to Jan 27, 2022
  • Advisory employees · 8 to 9
    Jul 19, 2021 to Jan 27, 2022
  • Charity clients · 6 to 4
    Jul 19, 2021 to Jan 27, 2022
  • HNW clients · 1,141 to 1,099
    Jul 19, 2021 to Jan 27, 2022
  • Individual clients · 1,109 to 1,303
    Jul 19, 2021 to Jan 27, 2022
  • Pension plan clients · unset to 1.0
    Jul 19, 2021 to Jan 27, 2022
  • Discretionary RAUM · $1.2B to $1.4B
    Jul 19, 2021 to Jan 27, 2022
  • HNW RAUM · $999M to $1.1B
    Jul 19, 2021 to Jan 27, 2022
  • Individual RAUM · $224M to $322M
    Jul 19, 2021 to Jan 27, 2022
  • Pension RAUM · unset to 4689350.0
    Jul 19, 2021 to Jan 27, 2022
  • RAUM · $1.2B to $1.4B
    Jul 19, 2021 to Jan 27, 2022
  • Advisory activities · 2 to 3
    Feb 16, 2021 to Apr 15, 2021
  • Financial planning clients · unset to 0
    Feb 16, 2021 to Apr 15, 2021
  • Other offices · 0 to 1
    Feb 16, 2021 to Apr 15, 2021
  • Accounts · 767 to 2,258
    Dec 1, 2020 to Feb 16, 2021
  • Charity clients · unset to 6.0
    Dec 1, 2020 to Feb 16, 2021
  • HNW clients · 152 to 1,141
    Dec 1, 2020 to Feb 16, 2021
  • Individual clients · 130 to 1,109
    Dec 1, 2020 to Feb 16, 2021
  • Discretionary RAUM · $1.1B to $1.2B
    Dec 1, 2020 to Feb 16, 2021
  • HNW RAUM · $464M to $999M
    Dec 1, 2020 to Feb 16, 2021
  • Individual RAUM · $60.9M to $224M
    Dec 1, 2020 to Feb 16, 2021
  • Pension RAUM · 3740525.0 to unset
    Dec 1, 2020 to Feb 16, 2021
  • RAUM · $1.1B to $1.2B
    Dec 1, 2020 to Feb 16, 2021
  • Advisory employees · 6 to 8
    Jul 14, 2020 to Dec 1, 2020
  • Employees · 6 to 9
    Jul 14, 2020 to Dec 1, 2020
  • State-registered IARs · 6 to 9
    Jul 14, 2020 to Dec 1, 2020
  • Accounts · 1,914 to 767
    Jul 17, 2019 to Mar 25, 2020
  • HNW clients · 135 to 152
    Jul 17, 2019 to Mar 25, 2020
  • Individual clients · 118 to 130
    Jul 17, 2019 to Mar 25, 2020
  • Discretionary RAUM · $851M to $1.1B
    Jul 17, 2019 to Mar 25, 2020
  • HNW RAUM · $375M to $464M
    Jul 17, 2019 to Mar 25, 2020
  • Individual RAUM · $49.1M to $60.9M
    Jul 17, 2019 to Mar 25, 2020
  • Pension RAUM · $3.0M to $3.7M
    Jul 17, 2019 to Mar 25, 2020
  • RAUM · $851M to $1.1B
    Jul 17, 2019 to Mar 25, 2020
  • Accounts · 1,808 to 1,914
    Apr 11, 2018 to Feb 28, 2019
  • Charity clients · 3.0 to unset
    Apr 11, 2018 to Feb 28, 2019
  • Corporate clients · unset to 0.0
    Apr 11, 2018 to Feb 28, 2019
  • HNW clients · 123 to 135
    Apr 11, 2018 to Feb 28, 2019
  • Individual clients · 111 to 118
    Apr 11, 2018 to Feb 28, 2019
Signals
14 dated events
  • Theresa Anne Krueg left Autus Asset Management, Llc for Dynamic (registered 2023-02-27)
    Feb 23, 2023 · Advisor changed firm · fact
  • Jeffrey Edward Krueg left Autus Asset Management, Llc for Dynamic (registered 2023-02-27)
    Feb 23, 2023 · Advisor changed firm · fact
  • Theresa Colette Standart left Autus Asset Management, Llc for Dynamic (registered 2023-02-27)
    Feb 23, 2023 · Advisor changed firm · fact
  • Autus Asset Management, LLC's advisors moved to Dynamic (Scottsdale, AZ): 3 of 3 registered, on the same day
    Feb 23, 2023 · Firm absorbed (people side) · derived
  • Jason Gabriel Richards left Autus Asset Management, Llc for Parallel Advisors, Llc (registered 2023-03-29)
    Feb 21, 2023 · Advisor changed firm · fact
  • Austin Richard Witherill left Autus Asset Management, Llc for Parallel Advisors, Llc (registered 2023-02-16)
    Feb 21, 2023 · Advisor changed firm · fact
  • Mark Andrew Fiedler left Autus Asset Management, Llc for Parallel Advisors, Llc (registered 2023-01-23)
    Feb 21, 2023 · Advisor changed firm · fact
  • Stephen Paul Weatherby left Autus Asset Management, Llc for Parallel Advisors, Llc (registered 2023-01-23)
    Feb 21, 2023 · Advisor changed firm · fact
  • John Leslie Stull left Autus Asset Management, Llc for Parallel Advisors, Llc (registered 2023-02-16)
    Feb 21, 2023 · Advisor changed firm · fact
  • Kipp Christopher Goll left Autus Asset Management, Llc for Rulapaugh Stanley E Cfa (registered 2009-09-15)
    Feb 21, 2023 · Advisor changed firm · fact
  • Donald Steven Cuppy left Autus Asset Management, Llc for Rulapaugh Stanley E Cfa (registered 2009-09-15)
    Feb 21, 2023 · Advisor changed firm · fact
  • 2 advisors left Autus Asset Management, LLC (Scottsdale, AZ) for Rulapaugh Stanley E Cfa on the same day
    Feb 21, 2023 · Team lift-out · derived
  • 4 advisors left Autus Asset Management, LLC (Scottsdale, AZ) for Parallel Advisors, LLC on the same day
    Feb 21, 2023 · Team lift-out · derived
  • Alan Steven Fields (Member) no longer on Schedule A of Autus Asset Management, Llc (listed 2019-02-28, absent 2019-07-17)
    Jul 17, 2019 · Control person left · inference
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