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
P••••••••• I••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 19, 2012 · 47 filings
SEC status approved since Jan 29, 2003
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$211M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$225M as of Mar 26, 2026
Mar 19, 2012$153M then
HNW client RAUM$163M as of Mar 26, 2026
Mar 30, 2018$69.5M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 19, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $443,708derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$163M72%
- Individuals$47.5M21%
- Corporations and businesses$9.8M4.3%
- Pension and profit-sharing plans$4.0M1.8%
- Charitable organizations$1.1M0.5%
- Individual clients
- 176reported
- HNW clients
- 51reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 508reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| M•••••• P•••••• T••••Certified Financial Planner | Boulder, Co | May 12, 2008 | 35 y | 2 |
| S•••••• M•••••• C••••••• T•••• | Boulder, Co | Jun 2, 2025 | 17 y | 0 |
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
Left, latest
- G•••••• R•••••• B•••• to C•••••••• C•••••• W••••• M••••••••• L••Jul 26, 2019 · RIA to RIA
- T••••••• S•••••• R••• to R•••••••• A•••••••• L••Oct 9, 2013 · Other
- C•••••• A•••• B••••••• to R•••••• J•••• • A••••••••• I•••Jun 26, 2006 · Other
Joined, latest
- M•••••• P•••••• T•••• from S••••••• A•••• M••••••••• I•••May 12, 2008 · Other
- C•••••• A•••• B••••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jan 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• M••••••• P•••••• · Primary Trusteecontrolsince 09/2019 · owns F of T•• M•••••• P• T•••• R•••••••• T••••
- T••••• M••••••• P•••••• · Chief Compliance Officersince 04/2008 · owns less than 5%
Entity owners
- T•• M•••••• P• T•••• R•••••••• T•••• · Ownerdirect · owns 75% or more
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 493 to 508Oct 30, 2025 to Mar 26, 2026
- Charity clients · 2 to 3Oct 30, 2025 to Mar 26, 2026
- Corporate clients · 2 to 1Oct 30, 2025 to Mar 26, 2026
- HNW clients · 52 to 51Oct 30, 2025 to Mar 26, 2026
- Individual clients · 167 to 176Oct 30, 2025 to Mar 26, 2026
- Discretionary RAUM · $198M to $225MOct 30, 2025 to Mar 26, 2026
- HNW RAUM · $148M to $163MOct 30, 2025 to Mar 26, 2026
- Individual RAUM · $37.6M to $47.5MOct 30, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $282,399 to $0Oct 30, 2025 to Mar 26, 2026
- Pension RAUM · $2.9M to $4.0MOct 30, 2025 to Mar 26, 2026
- RAUM · $198M to $225MOct 30, 2025 to Mar 26, 2026
- Accounts · 489 to 493Apr 29, 2024 to Apr 30, 2025
- HNW clients · 45 to 52Apr 29, 2024 to Apr 30, 2025
- Individual clients · 173 to 167Apr 29, 2024 to Apr 30, 2025
- Financial planning clients · 1-10 to 1-10Apr 29, 2024 to Apr 30, 2025
- HQ city · unset to Apr 29, 2024 to Apr 30, 2025
- HQ state · unset to Apr 29, 2024 to Apr 30, 2025
- Discretionary RAUM · $151M to $198MApr 29, 2024 to Apr 30, 2025
- HNW RAUM · $104M to $148MApr 29, 2024 to Apr 30, 2025
- Individual RAUM · $37.3M to $37.6MApr 29, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $2.2M to $282,399Apr 29, 2024 to Apr 30, 2025
- Pension RAUM · $1.9M to $2.9MApr 29, 2024 to Apr 30, 2025
- RAUM · $153M to $198MApr 29, 2024 to Apr 30, 2025
- Accounts · 226 to 489Mar 31, 2023 to Mar 28, 2024
- HNW clients · 34 to 45Mar 31, 2023 to Mar 28, 2024
- Individual clients · 185 to 173Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 5Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $121M to $151MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $70.0M to $104MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $43.2M to $37.3MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.5M to $2.2MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $1.2M to $1.9MMar 31, 2023 to Mar 28, 2024
- RAUM · $122M to $153MMar 31, 2023 to Mar 28, 2024
- Accounts · 508 to 226Mar 30, 2022 to Mar 31, 2023
- HNW clients · 56 to 34Mar 30, 2022 to Mar 31, 2023
- Individual clients · 180 to 185Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $171M to $121MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $44.3M to $70.0MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $116M to $43.2MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.0M to $1.5MMar 30, 2022 to Mar 31, 2023
Signals
1 dated events
- V•••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2014 · Succession (Item 4) · 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
- Business phone
- 303-351-5353reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••••••.COreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (303) 351-5353reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- principiuminvestments.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026