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
T•••• P••••• F••••••••• I•••
Latest filing Mar 8, 2024
First filing on the tape Jan 27, 2022 · 7 filings
RAUM
$119M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$119M as of Mar 8, 2024
Mar 9, 2023$116M then
HNW client RAUM$112M as of Mar 8, 2024
Mar 9, 2023$99.8M then
State-registered IARs (5.B.3)1 as of Mar 8, 2024
Mar 9, 20232 then
Employees (5.A)2 as of Mar 8, 2024
Mar 9, 20232 then
Private funds: no history
RAUM +3.1% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 8, 2024; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $461,969derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $13.5M, 16 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M94%
- Individuals$7.0M5.8%
- Individual clients
- 10reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 258reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.5M for 16 clientsreported
- Compensation
- fixedreported
- 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
- M••• R••• A••••• to R•••••••• S•••••••Jun 7, 2024 · RIA to RIA
- S••••• F•••••• C••••• to S••••• S••••••Jun 29, 2023 · RIA to a state-registered adviser
- K••••• D••• C•••• to F••••May 20, 2021 · RIA to RIA
- K•••• J••••• H•••••••• to F•••••••• A•••••• I•••Jun 28, 2019 · RIA to RIA
- B•••• C••••• K••••• to F•••• A••••• F••••••••• L••Jun 20, 2017 · Other
Joined, latest
- S••••• F•••••• C••••• from S••••• S••••••Nov 2, 2021 · Other
- K••••• D••• C•••• from U••• I••••••••• S••••••• C••••••Sep 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- K•••• J••••• H•••••••• from T• R••• P•••• A••••••• S•••••••• I•••Apr 17, 2018 · Other
- B•••• C••••• K••••• from S••••••••• F•••••••• A•••••••• I•••Mar 8, 2016 · Other
- M••• R••• A••••• from S••••••••• F•••••••• A•••••••• I•••Jan 7, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• M•••• R••• · President/Chief Compliance Officercontrolsince 05/2006 · 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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 260 to 258Jul 14, 2023 to Mar 8, 2024
- HNW clients · 44 to 47Jul 14, 2023 to Mar 8, 2024
- Individual clients · 18 to 10Jul 14, 2023 to Mar 8, 2024
- Assets in custody · $8.5M to $13.5MJul 14, 2023 to Mar 8, 2024
- HNW RAUM · $96.6M to $112MJul 14, 2023 to Mar 8, 2024
- Individual RAUM · $9.0M to $7.0MJul 14, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $106M to $119MJul 14, 2023 to Mar 8, 2024
- RAUM · $106M to $119MJul 14, 2023 to Mar 8, 2024
- Accounts · 347 to 260Mar 31, 2023 to Jul 14, 2023
- Advisory employees · 2 to 1Mar 31, 2023 to Jul 14, 2023
- Advisory activities · 3 to 2Mar 31, 2023 to Jul 14, 2023
- HNW clients · 47 to 44Mar 31, 2023 to Jul 14, 2023
- Individual clients · 31 to 18Mar 31, 2023 to Jul 14, 2023
- Assets in custody · unset to 8479994.0Mar 31, 2023 to Jul 14, 2023
- Custody of client assets · false to trueMar 31, 2023 to Jul 14, 2023
- State-registered IARs · 2 to 1Mar 31, 2023 to Jul 14, 2023
- Discretionary RAUM · $3.7M to $0Mar 31, 2023 to Jul 14, 2023
- HNW RAUM · $99.8M to $96.6MMar 31, 2023 to Jul 14, 2023
- Individual RAUM · $15.8M to $9.0MMar 31, 2023 to Jul 14, 2023
- Non-discretionary RAUM · $112M to $106MMar 31, 2023 to Jul 14, 2023
- RAUM · $116M to $106MMar 31, 2023 to Jul 14, 2023
- Accounts · 126 to 347Aug 15, 2022 to Mar 9, 2023
- HNW clients · 46 to 47Aug 15, 2022 to Mar 9, 2023
- Pension plan clients · 3 to 0Aug 15, 2022 to Mar 9, 2023
- Other offices · 1 to 0Aug 15, 2022 to Mar 9, 2023
- Discretionary RAUM · $6.8M to $3.7MAug 15, 2022 to Mar 9, 2023
- HNW RAUM · $98.0M to $99.8MAug 15, 2022 to Mar 9, 2023
- Individual RAUM · $13.2M to $15.8MAug 15, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $105M to $112MAug 15, 2022 to Mar 9, 2023
- Pension RAUM · $730,127 to $0Aug 15, 2022 to Mar 9, 2023
- RAUM · $112M to $116MAug 15, 2022 to Mar 9, 2023
- Business name · A••••• F•••••••• P•••••••• I••• to T•••• P••••• F••••••••• I•••Jan 27, 2022 to Jul 18, 2022
Signals
4 dated events
- M••• R••• A••••• left T•••• P••••• F••••••••• I••• for R•••••••• S••••••• (registered 2024-05-16)Jun 7, 2024 · Advisor changed firm · fact
- F•••••• S••••• C••••• (Treasurer/Cco) no longer on Schedule A of T•••• P••••• F••••••••• I••• (listed 2023-03-31, absent 2023-07-14)Jul 14, 2023 · Control person left · inference
- S••••• F•••••• C••••• left T•••• P••••• F••••••••• I••• for S••••• S•••••• (registered 2023-05-31)Jun 29, 2023 · Advisor changed firm · fact
- A••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Jan 27, 2022 · ria f•••• adv filing · 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