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
C••••• F•••••••• G••••• L••
Latest filing Feb 12, 2026
First filing on the tape Dec 15, 2011 · 23 filings
SEC status approved since Apr 22, 2015
RAUM
$370M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$301M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$92.5M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$370M as of Feb 12, 2026
Mar 7, 2012$54.6M then
HNW client RAUM$210M as of Feb 12, 2026
Mar 30, 2018$85.1M then
State-registered IARs (5.B.3)5 as of Feb 12, 2026
Mar 7, 20120 then
Employees (5.A)5 as of Feb 12, 2026
Mar 29, 20165 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 12, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $92.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 154derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $373,172derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- 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
- Wrap fee program
- $22.1MreportedItem 5.I
- Custody
- $17.1M, 35 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)
- compensates persons for client referrals (8.G.1)
- 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$210M57%
- Individuals$90.4M24%
- Corporations and businesses$69.1M19%
- Individual clients
- 484reported
- HNW clients
- 130reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 991reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $17.1M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• P•••••• C••••• | Ft. Collins, Co | Jan 13, 2009 | 19 y | 1 |
| J••••• C•••• N••••• | Windsor, Co | Jan 6, 2014 | 18 y | 1 |
| J••• H••••••• A••••• | Broomfield, Co | Jun 29, 2020 | 28 y | 2 |
| A••••• J•••• G••••••• | Windsor, Co | Apr 8, 2022 | 12 y | 0 |
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 headcount1 left over 36 months
Left, latest
- A••••• G••• K•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 9, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• H••••••• A••••• from F•••••••• D••••• • M••••••••• I•••Jun 29, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••• P•••••• · Managing Membercontrolsince 07/2008 · owns 75% or more
- N•••••• J•••••• C•••• · Cco-Chief Compliance Officersince 12/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Windsor, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Midland, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 985 to 991Feb 26, 2025 to Feb 12, 2026
- BD registered reps · 2 to 1Feb 26, 2025 to Feb 12, 2026
- Corporate clients · 19 to 21Feb 26, 2025 to Feb 12, 2026
- HNW clients · 108 to 130Feb 26, 2025 to Feb 12, 2026
- Individual clients · 517 to 484Feb 26, 2025 to Feb 12, 2026
- Discretionary RAUM · $323M to $368MFeb 26, 2025 to Feb 12, 2026
- HNW RAUM · $190M to $210MFeb 26, 2025 to Feb 12, 2026
- Individual RAUM · $87.7M to $90.4MFeb 26, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $1.6M to $1.8MFeb 26, 2025 to Feb 12, 2026
- RAUM · $324M to $370MFeb 26, 2025 to Feb 12, 2026
- Accounts · 996 to 985Feb 15, 2024 to Feb 26, 2025
- BD registered reps · 1 to 2Feb 15, 2024 to Feb 26, 2025
- Corporate clients · 6 to 19Feb 15, 2024 to Feb 26, 2025
- HNW clients · 154 to 108Feb 15, 2024 to Feb 26, 2025
- Individual clients · 513 to 517Feb 15, 2024 to Feb 26, 2025
- Assets in custody · $12.1M to $17.1MFeb 15, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 0Feb 15, 2024 to Feb 26, 2025
- Discretionary RAUM · $272M to $323MFeb 15, 2024 to Feb 26, 2025
- HNW RAUM · $111M to $190MFeb 15, 2024 to Feb 26, 2025
- Individual RAUM · $121M to $87.7MFeb 15, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $1.3M to $1.6MFeb 15, 2024 to Feb 26, 2025
- RAUM · $273M to $324MFeb 15, 2024 to Feb 26, 2025
- Accounts · 1,035 to 996May 31, 2023 to Feb 15, 2024
- Advisory employees · 6 to 5May 31, 2023 to Feb 15, 2024
- HNW clients · 128 to 154May 31, 2023 to Feb 15, 2024
- Individual clients · 577 to 513May 31, 2023 to Feb 15, 2024
- Assets in custody · $8.8M to $12.1MMay 31, 2023 to Feb 15, 2024
- Employees · 6 to 5May 31, 2023 to Feb 15, 2024
- HQ city · FORT COLLINS to WINDSORMay 31, 2023 to Feb 15, 2024
- State-registered IARs · 6 to 5May 31, 2023 to Feb 15, 2024
- Discretionary RAUM · $244M to $272MMay 31, 2023 to Feb 15, 2024
- HNW RAUM · $134M to $111MMay 31, 2023 to Feb 15, 2024
- Individual RAUM · $80.0M to $121MMay 31, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $76,049 to $1.3MMay 31, 2023 to Feb 15, 2024
- RAUM · $244M to $273MMay 31, 2023 to Feb 15, 2024
- Accounts · 1,000 to 1,035Feb 18, 2022 to Mar 8, 2023
- Corporate clients · unset to 6.0Feb 18, 2022 to Mar 8, 2023
- HNW clients · 113 to 128Feb 18, 2022 to Mar 8, 2023
- Individual clients · 606 to 577Feb 18, 2022 to Mar 8, 2023
- Discretionary RAUM · $258M to $244MFeb 18, 2022 to Mar 8, 2023
Signals
4 dated events
- A••••• G••• K•••• left C••••• F•••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-19)Apr 9, 2024 · Advisor changed firm · fact
- G••• A••••• K•••• (Manager & Chief Compliance Officer) no longer on Schedule A of C••••• F•••••••• G••••• L•• (listed 2021-08-30, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- Patrick J•••• Cosner (Managing Member) no longer on Schedule A of C••••• F•••••••• G••••• L•• (listed 2021-03-31, absent 2021-08-30)Aug 30, 2021 · Control person left · inference
- C••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 432-682-0326reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-879-1548reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-260-1029reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (970) 482-3922reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $92.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026