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

P••• • A••

Former SEC-registered adviserCRD 148453SEC 801-69786IAPD
Legal name F••••••••• L••
Latest filing Jun 1, 2019
First filing on the tape Nov 10, 2011 · 28 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$0 as of Jun 1, 2019
Mar 15, 2012$0 then
HNW client RAUM$0 as of Jun 1, 2019
Apr 2, 2018$0 then
State-registered IARs (5.B.3)2 as of Jun 1, 2019
Mar 15, 20120 then
Employees (5.A)3 as of Jun 1, 2019
Mar 27, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jun 1, 2019; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-83%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
50reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
26-50reported
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
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• L••• S••••••• T•••••Buena Vista, CoJul 28, 202112 y1
R••••• J•••• S•••••••Certified Financial PlannerBuena Vista, Co Jul 28, 202126 y2
C•••••• B••• M••••Buena Vista, Co Feb 16, 202512 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••• D••••• Z•• · Managercontrol
    since 11/2011 · owns less than 5%
  • S•••••••• R•••••• J•••• · Chief Compliance Officercontrol
    since 03/2012 · owns less than 5%
  • S•••••••• R•••••• J•••• · Membercontrol
    since 03/2016 · owns 75% or more of F•••••••• S•••••• L••
  • R••• D••••• Z•• · Shareholder
    since 07/2006 · owns F of T•• L••
  • T•••• E•••• · Shareholder
    since 07/2006 · owns F of T•• L••
Entity owners
  • F•••••••• S•••••• L•• · Member
    direct · owns 10% to 25%
  • T•• L•• · Member
    direct · owns 75% or more
  • O•••••••• · Member
    direct · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list P••• • A•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Buena Vista, Co300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Business name · F••••••••• L•• to P••• • A••
    May 16, 2019 to Jun 1, 2019
  • Advisory employees · 1 to 2
    Mar 19, 2019 to Apr 10, 2019
  • Individual clients · 300 to 50
    Mar 19, 2019 to Apr 10, 2019
  • Employees · 2 to 3
    Mar 19, 2019 to Apr 10, 2019
  • Insurance-licensed employees · 1 to 2
    Mar 19, 2019 to Apr 10, 2019
  • Financial planning clients · 251-500 to 26-50
    Mar 19, 2019 to Apr 10, 2019
  • State-registered IARs · 1 to 2
    Mar 19, 2019 to Apr 10, 2019
  • Accounts · unset to 0.0
    Apr 2, 2018 to Mar 11, 2019
  • Advisory activities · 1 to 3
    Apr 2, 2018 to Mar 11, 2019
  • Discretionary RAUM · unset to 0.0
    Apr 2, 2018 to Mar 11, 2019
  • Non-discretionary RAUM · unset to 0.0
    Apr 2, 2018 to Mar 11, 2019
  • RAUM · unset to 0.0
    Apr 2, 2018 to Mar 11, 2019
  • Charity clients · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Corporate clients · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • HNW clients · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Individual clients · unset to 300.0
    Mar 22, 2017 to Apr 2, 2018
  • Pension plan clients · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Insurance-licensed employees · 0 to 1
    Mar 22, 2017 to Apr 2, 2018
  • Financial planning clients · 26-50 to 251-500
    Mar 22, 2017 to Apr 2, 2018
  • HQ city · SALIDA to unset
    Mar 22, 2017 to Apr 2, 2018
  • HQ state · CO to unset
    Mar 22, 2017 to Apr 2, 2018
  • Other offices · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • HNW RAUM · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Individual RAUM · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Pension RAUM · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 22, 2017 to Apr 2, 2018
  • Advisory employees · 2 to 1
    Oct 26, 2016 to Mar 22, 2017
  • Business name · P••• • A•• to F••••••••• L••
    Oct 26, 2016 to Mar 22, 2017
  • Employees · 3 to 2
    Oct 26, 2016 to Mar 22, 2017
  • Financial planning clients · 1-10 to 26-50
    Oct 26, 2016 to Mar 22, 2017
  • State-registered IARs · 2 to 1
    Oct 26, 2016 to Mar 22, 2017
  • Related insurance company · true to false
    Oct 26, 2016 to Mar 22, 2017
  • Advisory activities · 2 to 1
    Oct 21, 2016 to Oct 26, 2016
  • Related adviser · false to true
    Oct 21, 2016 to Oct 26, 2016
  • Accounts · 0.0 to unset
    Jun 30, 2015 to Mar 30, 2016
  • Advisory employees · 1 to 2
    Jun 30, 2015 to Mar 30, 2016
  • Advisory activities · 3 to 2
    Jun 30, 2015 to Mar 30, 2016
  • State-registered IARs · 1 to 2
    Jun 30, 2015 to Mar 30, 2016
  • Discretionary RAUM · 0.0 to unset
    Jun 30, 2015 to Mar 30, 2016
Signals
1 dated events
  • H•••• D•••• G••••••••• left P••• • A•• for Thepension401K (registered 2021-07-26)
    Jun 14, 2023 · a•••••• firm change · 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
Firm profile
linkedin.com/company/planandactreportedpublic record, Form ADV, Sep 18, 2026
Website
thepension401k.comreportedpublic record, Form ADV, Sep 18, 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
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