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

S••• F•••••••• S•••••••• I•••

Former SEC-registered adviserCRD 127012SEC 801-118451IAPD
Latest filing Jan 28, 2022
First filing on the tape Mar 17, 2020 · 6 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
0
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$180M as of Jan 28, 2022
Mar 10, 2021$148M then
HNW client RAUM$169M as of Jan 28, 2022
Mar 10, 2021$128M then
State-registered IARs (5.B.3)3 as of Jan 28, 2022
Mar 10, 20213 then
Employees (5.A)3 as of Jan 28, 2022
Mar 10, 20213 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jan 28, 2022; every figure names its basis
RAUM per advisor
$60.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.8MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$52.7M, 27 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$169M94%
  • Individuals$11.4M6.3%
Individual clients
32reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
177reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$52.7M for 27 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••••••• K••• · Vice Presidentcontrol
      since 03/2005 · owns 50% to 75%
    • C••••••• S••••••• L••••• · President And Chief Compliance Officercontrol
      since 04/2003 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Scottsdale, AZ2 employees
    • Evergreen, CO1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 251 to 177
      Jun 28, 2021 to Jan 28, 2022
    • Charity clients · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • Corporate clients · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • HNW clients · 26 to 29
      Jun 28, 2021 to Jan 28, 2022
    • Individual clients · 35 to 32
      Jun 28, 2021 to Jan 28, 2022
    • Pension plan clients · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • Pooled vehicle clients · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • Assets in custody · $248,323 to $52.7M
      Jun 28, 2021 to Jan 28, 2022
    • Discretionary RAUM · $148M to $180M
      Jun 28, 2021 to Jan 28, 2022
    • HNW RAUM · $128M to $169M
      Jun 28, 2021 to Jan 28, 2022
    • Individual RAUM · $20.7M to $11.4M
      Jun 28, 2021 to Jan 28, 2022
    • Pension RAUM · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • Pooled vehicle RAUM · 0.0 to unset
      Jun 28, 2021 to Jan 28, 2022
    • RAUM · $148M to $180M
      Jun 28, 2021 to Jan 28, 2022
    • Accounts · 252 to 251
      Jun 29, 2020 to Mar 10, 2021
    • HNW clients · 24 to 26
      Jun 29, 2020 to Mar 10, 2021
    • Individual clients · 60 to 35
      Jun 29, 2020 to Mar 10, 2021
    • Assets in custody · $58.3M to $248,323
      Jun 29, 2020 to Mar 10, 2021
    • Custody of client assets · false to true
      Jun 29, 2020 to Mar 10, 2021
    • Financial planning clients · 11-25 to 1-10
      Jun 29, 2020 to Mar 10, 2021
    • Discretionary RAUM · $133M to $148M
      Jun 29, 2020 to Mar 10, 2021
    • HNW RAUM · $66.0M to $128M
      Jun 29, 2020 to Mar 10, 2021
    • Individual RAUM · $70.8M to $20.7M
      Jun 29, 2020 to Mar 10, 2021
    • Non-discretionary RAUM · $4.1M to $0
      Jun 29, 2020 to Mar 10, 2021
    • RAUM · $137M to $148M
      Jun 29, 2020 to Mar 10, 2021
    Signals
    5 dated events
    • T•••••• E••••• R••••• left S••• F•••••••• S•••••••• I••• for A•••• W••••• M••••••••• L•• (registered 2023-07-19)
      Mar 15, 2023 · Advisor changed firm · fact
    • K••• C•••••• left S••• F•••••••• S•••••••• I••• for T•••• E•• F•••••••• L•• (registered 2012-06-18)
      Mar 15, 2023 · Advisor changed firm · fact
    • S•••••• L••••• C•••••• left S••• F•••••••• S•••••••• I••• for T•••• E•• F•••••••• L•• (registered 2012-06-18)
      Mar 15, 2023 · Advisor changed firm · fact
    • 2 advisors left S••• F•••••••• S•••••••• I••• (Scottsdale, AZ) for T•••• E•• F•••••••• L•• on the same day
      Mar 15, 2023 · Team lift-out · derived
    • S••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 17, 2020 · 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