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SEC-registered adviser

D• C•••••• M••••••••• L••

Independent wealth managerCRD 142841SEC 801-136686websiteIAPD
Latest filing Aug 14, 2026
First filing on the tape Jun 8, 2026 · 2 filings
SEC status approved since Jul 6, 2026
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$107M as of Aug 14, 2026
Jun 8, 2026$107M then
HNW client RAUM$93.4M as of Aug 14, 2026
Jun 8, 2026$93.4M then
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Jun 8, 20261 then
Employees (5.A)3 as of Aug 14, 2026
Jun 8, 20263 then
Private funds: no history
Practice profile
derived from the filing of Aug 14, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$453,431derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 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, 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$93.4M87%
  • Individuals$13.6M13%
Individual clients
46reported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
236reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S••• P••• B•••••Chartered Financial AnalystDillon, CoSep 21, 201214 y0
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• S•••• P••• · Member & Chief Compliance Officercontrol
        since 02/2007 · owns 75% or more
      • B•••••• K••••• Q•••• · Owner
        since 12/2006 · owns less than 5%
      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
      One filing, no change to show.
      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.
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/1312801reportedpublic record, Form ADV, Sep 21, 2026
      Website
      d••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      970-468-1339reportedpublic record, Form ADV, Aug 14, 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
      $107Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026