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
I••••••• I••••••••• A•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Jan 31, 2012 · 21 filings
SEC status approved since Mar 13, 2020
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$152M as of May 7, 2026
Jan 31, 2012$34.0M then
HNW client RAUM$27.4M as of May 7, 2026
Mar 30, 2020$60.2M then
State-registered IARs (5.B.3)2 as of May 7, 2026
Mar 30, 20203 then
Employees (5.A)2 as of May 7, 2026
Mar 30, 20203 then
Private funds: no history
RAUM +53% over the last fiscal year-0.4% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $451,681derivedHNW RAUM over HNW clients
- Average account
- $387,256derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$125M81%
- High-net-worth individuals$30.3M19%
- Individual clients
- 48reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 401reported
- Financial planning clients
- 26-50reported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• M•••••• L••••• | Denver, Co | Feb 26, 2024 | 13 y | 0 |
| M••• S•••••• S•••••••••Certified Financial Planner | Denver, Co | Jan 1, 2025 | 26 y | 2 |
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 headcount2 left over 36 months
Left, latest
- K•••••• L•••• M•••••••• to P••••••• W••••• A•••••••Dec 31, 2023 · RIA to RIA
- B•••• S•••• J••••• to P••••••• W••••• A•••••••Dec 31, 2023 · RIA to RIA
Joined, latest
- K•••••• L•••• M•••••••• from S••Aug 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••• S•••• J••••• from U•• F•••••••• S••••••• I•••Jul 3, 2019 · Other
- M••• S•••••• S••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 27, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• W••••• A•••••••Dec 31, 2023 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• M•••• S•••••• · Managing Member & Chief Compliance Officercontrolsince 03/2009 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 18, 2026HNW share of RAUM moved from 70.0% to 18.0% between the annual amendments of 2025-03-28 and 2026-03-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50May 7, 2026 to Sep 17, 2026
- Discretionary RAUM · $152M to $155MMay 7, 2026 to Sep 17, 2026
- HNW RAUM · $27.4M to $30.3MMay 7, 2026 to Sep 17, 2026
- RAUM · $152M to $155MMay 7, 2026 to Sep 17, 2026
- Related adviser · false to unsetMay 7, 2026 to Sep 17, 2026
- Related bank · false to unsetMay 7, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMay 7, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMay 7, 2026 to Sep 17, 2026
- Succession · false to unsetMay 7, 2026 to Sep 17, 2026
- Accounts · 392 to 401Mar 18, 2026 to May 7, 2026
- HNW clients · 66 to 67Mar 18, 2026 to May 7, 2026
- Individual clients · 47 to 48Mar 18, 2026 to May 7, 2026
- Discretionary RAUM · $131M to $152MMar 18, 2026 to May 7, 2026
- HNW RAUM · $23.7M to $27.4MMar 18, 2026 to May 7, 2026
- Individual RAUM · $108M to $125MMar 18, 2026 to May 7, 2026
- RAUM · $131M to $152MMar 18, 2026 to May 7, 2026
- Accounts · 424 to 392Mar 28, 2025 to Mar 18, 2026
- Advisory employees · 1 to 2Mar 28, 2025 to Mar 18, 2026
- HNW clients · 33 to 66Mar 28, 2025 to Mar 18, 2026
- Individual clients · 81 to 47Mar 28, 2025 to Mar 18, 2026
- State-registered IARs · 1 to 2Mar 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $102M to $131MMar 28, 2025 to Mar 18, 2026
- HNW RAUM · $71.0M to $23.7MMar 28, 2025 to Mar 18, 2026
- Individual RAUM · $30.7M to $108MMar 28, 2025 to Mar 18, 2026
- RAUM · $102M to $131MMar 28, 2025 to Mar 18, 2026
- Accounts · 388 to 424Aug 17, 2024 to Mar 28, 2025
- HNW clients · 39 to 33Aug 17, 2024 to Mar 28, 2025
- Individual clients · 82 to 81Aug 17, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 26-50Aug 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $102M to $102MAug 17, 2024 to Mar 28, 2025
- HNW RAUM · $72.4M to $71.0MAug 17, 2024 to Mar 28, 2025
- Individual RAUM · $29.4M to $30.7MAug 17, 2024 to Mar 28, 2025
- RAUM · $102M to $102MAug 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $90.7M to $102MMar 28, 2024 to Aug 17, 2024
- HNW RAUM · $64.3M to $72.4MMar 28, 2024 to Aug 17, 2024
- Individual RAUM · $26.4M to $29.4MMar 28, 2024 to Aug 17, 2024
- RAUM · $90.7M to $102MMar 28, 2024 to Aug 17, 2024
- Accounts · 836 to 388Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 5 to 1Mar 28, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Mar 28, 2023 to Mar 28, 2024
Signals
4 dated events
- B•••• S•••• J••••• left I••••••• I••••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-02-14)Dec 31, 2023 · Advisor changed firm · fact
- K•••••• L•••• M•••••••• left I••••••• I••••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-02-14)Dec 31, 2023 · Advisor changed firm · fact
- 2 advisors left I••••••• I••••••••• A•••••••• L•• (Denver, CO) for P••••••• W••••• A••••••• on the same dayDec 31, 2023 · Team lift-out · derived
- I••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 12, 2020 · 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 email
- i•••@i•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 231-253-3253reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 305-615-5253reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 312-971-2009reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/I•••••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- I•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 720- 253-1818reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $77.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026