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
T••••••••• C•••••• A•••••••• L••
Legal name D••••••• A•• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Aug 25, 2006
RAUM
$73.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
22 filings and snapshots on the tape
RAUM$73.7M as of Mar 31, 2026
Mar 29, 2012$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Apr 1, 20134 then
Private funds: no history
RAUM n/a over the last fiscal year-14% a year over three
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.7MderivedRAUM 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
- $73.7MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$73.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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•••••• M••••• A••• to A••••••• A••••••• S•••••••Oct 31, 2014 · Other
- L•••• M•••••• W••• to K••••••• A•••••••• L••Jan 21, 2011 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• K••••••• J•• · Managing Member, Chief Compliance Officercontrolsince 07/2006 · owns 75% or more
Related persons
Schedule D 7.A
- D• K••••• C•••••• M••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-05-13, no on the filing of 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Discretionary RAUM · $74.1M to $73.7MMay 13, 2025 to Mar 31, 2026
- RAUM · $74.1M to $73.7MMay 13, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseMay 13, 2025 to Mar 31, 2026
- Accounts · 2 to 1Mar 28, 2024 to May 13, 2025
- Advisory activities · 2 to 1Mar 28, 2024 to May 13, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to May 13, 2025
- Discretionary RAUM · $83.5M to $74.1MMar 28, 2024 to May 13, 2025
- Non-discretionary RAUM · $32.5M to $0Mar 28, 2024 to May 13, 2025
- RAUM · $116M to $74.1MMar 28, 2024 to May 13, 2025
- Discretionary RAUM · $117M to $83.5MFeb 15, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $32.5MFeb 15, 2023 to Mar 28, 2024
- RAUM · $117M to $116MFeb 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $325M to $117MFeb 7, 2022 to Feb 15, 2023
- Non-discretionary RAUM · $29.4M to $0Feb 7, 2022 to Feb 15, 2023
- RAUM · $355M to $117MFeb 7, 2022 to Feb 15, 2023
- Discretionary RAUM · $427M to $325MJun 21, 2021 to Feb 7, 2022
- Non-discretionary RAUM · $57.3M to $29.4MJun 21, 2021 to Feb 7, 2022
- RAUM · $484M to $355MJun 21, 2021 to Feb 7, 2022
- HQ city · DENVER to NEWPORTMar 16, 2020 to Feb 23, 2021
- HQ state · CO to RIMar 16, 2020 to Feb 23, 2021
- Discretionary RAUM · $161M to $427MMar 16, 2020 to Feb 23, 2021
- Non-discretionary RAUM · $26.7M to $57.3MMar 16, 2020 to Feb 23, 2021
- RAUM · $188M to $484MMar 16, 2020 to Feb 23, 2021
- Discretionary RAUM · $180M to $161MJul 2, 2019 to Mar 16, 2020
- Non-discretionary RAUM · $18.2M to $26.7MJul 2, 2019 to Mar 16, 2020
- RAUM · $198M to $188MJul 2, 2019 to Mar 16, 2020
- Advisory employees · 2 to 1Feb 21, 2018 to Jan 30, 2019
- Employees · 2 to 1Feb 21, 2018 to Jan 30, 2019
- State-registered IARs · 2 to 1Feb 21, 2018 to Jan 30, 2019
- Discretionary RAUM · $270M to $180MFeb 21, 2018 to Jan 30, 2019
- Non-discretionary RAUM · $18.7M to $18.2MFeb 21, 2018 to Jan 30, 2019
- RAUM · $289M to $198MFeb 21, 2018 to Jan 30, 2019
- Employees · 5 to 2Jan 25, 2017 to Feb 21, 2018
- Other offices · unset to 0.0Jan 25, 2017 to Feb 21, 2018
- Discretionary RAUM · $327M to $270MJan 25, 2017 to Feb 21, 2018
- Non-discretionary RAUM · $19.6M to $18.7MJan 25, 2017 to Feb 21, 2018
- RAUM · $346M to $289MJan 25, 2017 to Feb 21, 2018
- Advisory employees · 1 to 2Jun 29, 2016 to Jan 25, 2017
- Employees · 2 to 5Jun 29, 2016 to Jan 25, 2017
- Discretionary RAUM · $361M to $327MJun 29, 2016 to Jan 25, 2017
Signals
3 dated events
- T••••••••• C•••••• A•••••••• L•• reported RAUM $117.2M, down 67% from $354.9M (2022-02-07 to 2023-02-15)Feb 15, 2023 · RAUM change · derived
- T••••••••• C•••••• A•••••••• L•• reported RAUM $354.9M, down 27% from $483.9M (2021-06-21 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- T••••••••• C•••••• A•••••••• L•• reported RAUM $483.9M, up 157% from $188.0M (2020-03-16 to 2021-02-23)Feb 23, 2021 · RAUM change · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-997-0718reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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