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
J••••••• C••••••• I•••
Latest filing Jun 19, 2018
First filing on the tape Mar 28, 2012 · 19 filings
RAUM
$57.8M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$55.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$57.8M as of Mar 31, 2018
Mar 28, 2012$97.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 25, 20130 then
Employees (5.A)1 as of Mar 31, 2018
Mar 25, 20133 then
Private funds: no history
RAUM -60% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 2018; 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
- $154,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -60%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$55.5M96%
- Pension and profit-sharing plans$2.3M4.0%
- Individual clients
- 371reported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 374reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- W•••••• E••••• O••••• to F•••••••••Jun 30, 2018 · RIA to a newly registered adviser
- P•••••• S••••••••• J••••••• to F•••••••••Jun 30, 2018 · RIA to a newly registered adviser
- M••• T••• J••••• to F•••••••••Jun 30, 2018 · RIA to a newly registered adviser
- K••• A•••• F•••••• to S•••••• S•••••••••Jun 30, 2018 · Other
- C••••••••• D••• M••••••• to F•••••••••Jun 30, 2018 · RIA to a newly registered adviser
- S•••• M•••••• M••••• to F•••••••••Jun 30, 2018 · RIA to a newly registered adviser
- W•••••• C••••• F••• to E••••• I••••••••• A•••••••Jun 30, 2018 · Other
- J•••• P••• W•••• to E••••• S••••••••• I•••Jul 14, 2009 · Other
- L••••••• R•••••• B••••••• to S••••••• W••••• M••••••••• L••Apr 28, 2009 · Other
Joined, latest
- C••••••••• D••• M••••••• from E••••• I••••••••• A•••••••Mar 14, 2013 · Other
- W•••••• E••••• O••••• from B••••••••• C•••••• M••••••••• L••Apr 22, 2010 · Other
- M••• T••• J••••• from E••••• I••••••••• A•••••••Jul 24, 2009 · Other
- J•••• P••• W•••• from Q•• F•••••••• L••Jul 3, 2008 · Other
- K••• A•••• F•••••• from E••••• I••••••••• A•••••••Nov 12, 2007 · Other
- W•••••• C••••• F••• from A•• B••••••••• I•••Dec 18, 2006 · Other
- L••••••• R•••••• B••••••• from F•••• F•••••••• S•••••••• I•••Sep 5, 2006 · Other
- P•••••• S••••••••• J••••••• from F•••• F•••••••• S•••••••• I•••May 25, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F•••••••••Jun 30, 2018 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• P••••••• S••••••••• · President, Chief Compliance Officercontrolsince 05/2006 · owns 50% to 75%
- M•••••• S••••• M•••••• · Vice Presidentcontrolsince 08/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 415 to 374Jan 11, 2018 to Mar 31, 2018
- Advisory activities · 7 to 5Jan 11, 2018 to Mar 31, 2018
- Individual clients · unset to 371.0Jan 11, 2018 to Mar 31, 2018
- Pension plan clients · unset to 3.0Jan 11, 2018 to Mar 31, 2018
- Financial planning clients · 11-25 to 1-10Jan 11, 2018 to Mar 31, 2018
- HQ city · SCOTTSBLUFF to unsetJan 11, 2018 to Mar 31, 2018
- HQ state · NE to unsetJan 11, 2018 to Mar 31, 2018
- Discretionary RAUM · $132M to $55.5MJan 11, 2018 to Mar 31, 2018
- Individual RAUM · unset to 55497780.0Jan 11, 2018 to Mar 31, 2018
- Non-discretionary RAUM · $11.6M to $2.3MJan 11, 2018 to Mar 31, 2018
- Pension RAUM · unset to 2290821.0Jan 11, 2018 to Mar 31, 2018
- RAUM · $143M to $57.8MJan 11, 2018 to Mar 31, 2018
- Related adviser · true to falseJan 11, 2018 to Mar 31, 2018
- Advisory employees · 2 to 1Mar 22, 2017 to Jan 11, 2018
- Employees · 3 to 1Mar 22, 2017 to Jan 11, 2018
- HQ city · WESTMINSTER to SCOTTSBLUFFMar 22, 2017 to Jan 11, 2018
- HQ state · CO to NEMar 22, 2017 to Jan 11, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Jan 11, 2018
- Accounts · 365 to 415Mar 25, 2016 to Mar 22, 2017
- Discretionary RAUM · $124M to $132MMar 25, 2016 to Mar 22, 2017
- Non-discretionary RAUM · $12.2M to $11.6MMar 25, 2016 to Mar 22, 2017
- RAUM · $136M to $143MMar 25, 2016 to Mar 22, 2017
- Accounts · 378 to 365Mar 30, 2015 to Mar 25, 2016
- Discretionary RAUM · $131M to $124MMar 30, 2015 to Mar 25, 2016
- Non-discretionary RAUM · $12.8M to $12.2MMar 30, 2015 to Mar 25, 2016
- RAUM · $143M to $136MMar 30, 2015 to Mar 25, 2016
- Accounts · 355 to 378Nov 20, 2014 to Mar 30, 2015
- Advisory employees · 1 to 2Nov 20, 2014 to Mar 30, 2015
- Discretionary RAUM · $122M to $131MNov 20, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $11.1M to $12.8MNov 20, 2014 to Mar 30, 2015
- RAUM · $133M to $143MNov 20, 2014 to Mar 30, 2015
- Accounts · 345 to 355Aug 30, 2013 to Mar 31, 2014
- Discretionary RAUM · $99.0M to $122MAug 30, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $5.0M to $11.1MAug 30, 2013 to Mar 31, 2014
- RAUM · $104M to $133MAug 30, 2013 to Mar 31, 2014
- HQ city · GLEND••• to WESTMINSTERMar 25, 2013 to Aug 30, 2013
- Accounts · 347 to 345Jan 2, 2013 to Mar 25, 2013
- Discretionary RAUM · $90.4M to $99.0MJan 2, 2013 to Mar 25, 2013
- Non-discretionary RAUM · $6.6M to $5.0MJan 2, 2013 to Mar 25, 2013
- RAUM · $97.0M to $104MJan 2, 2013 to Mar 25, 2013
Signals
No event on the tape.
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