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
E•••••••• I••••••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 31, 2012 · 24 filings
SEC status approved since Apr 1, 2009
RAUM
$223M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$211M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
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
24 filings and snapshots on the tape
RAUM$223M as of Mar 30, 2026
Jan 31, 2012$83.7M then
HNW client RAUM$201M as of Mar 30, 2026
Mar 26, 2018$83.1M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 20, 20132 then
Employees (5.A)3 as of Mar 30, 2026
Mar 20, 20133 then
Private funds: no history
RAUM +10% over the last fiscal year+10.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $807,849derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $172M, 66 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M90%
- Charitable organizations$11.6M5.2%
- Individuals$10.6M4.7%
- Individual clients
- 23reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 276reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $172M for 66 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• F•••••••• Z••••••Certified Financial Planner | Englewood, Co | Apr 19, 2013 | 39 y | 1 |
| M•••••• K•••••• H••••• | Englewood, Co | Jan 17, 2019 | 27 y | 3 |
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
- M••• J•••• A•••• to N•••• W••••• M••••••••• P•••••Nov 16, 2015 · Other
- D•••••• J••••• P••• to I••• A•••••••• I•••Mar 21, 2011 · Other
Joined, latest
- M•••••• K•••••• H••••• from M••••• • A••••••••• C•••••• M••••••••• I•••Jan 17, 2019 · Other
- J••••••• F•••••••• Z•••••• from E•••••••• A•••••••• I•••Apr 19, 2013 · Other
- D•••••• J••••• P••• from Q•••••• C•••••• M••••••••• L••May 18, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• K•••••• · Partner, Chief Investment Officercontrolsince 01/2019 · owns less than 5%
- Z••••••• J•••••••• F•••••••• · Partner, Chief Executive Officercontrolsince 02/2009 · owns less than 5%
- H•••••• M••••••• K•••••• · Presidentcontrolsince 01/2017 · owns 75% or more of M••••• • A••••••••• C•••••• M••••••••• I•••
- Z••••••• J•••••••• F•••••••• · President & Treasurercontrolsince 10/2002 · owns 75% or more of E•••••••• A•••••••• I•••
- S•••••• K••••• A•• · Chief Compliance Officersince 01/2021 · owns less than 5%
Entity owners
- E•••••••• A•••••••• I••• · Memberdirect · owns 50% to 75%
- M••••• • A••••••••• C•••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Englewood, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 268 to 276Mar 27, 2025 to Mar 30, 2026
- HNW clients · 51 to 54Mar 27, 2025 to Mar 30, 2026
- Individual clients · 24 to 23Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $102M to $172MMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $193M to $213MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $180M to $201MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $11.6M to $10.6MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $9.0M to $10.0MMar 27, 2025 to Mar 30, 2026
- RAUM · $202M to $223MMar 27, 2025 to Mar 30, 2026
- Accounts · 266 to 268Mar 19, 2024 to Mar 27, 2025
- Charity clients · 3 to 2Mar 19, 2024 to Mar 27, 2025
- HNW clients · 49 to 51Mar 19, 2024 to Mar 27, 2025
- Individual clients · 28 to 24Mar 19, 2024 to Mar 27, 2025
- Assets in custody · $117M to $102MMar 19, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $180M to $193MMar 19, 2024 to Mar 27, 2025
- HNW RAUM · $167M to $180MMar 19, 2024 to Mar 27, 2025
- Individual RAUM · $11.6M to $11.6MMar 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $9.7M to $9.0MMar 19, 2024 to Mar 27, 2025
- RAUM · $190M to $202MMar 19, 2024 to Mar 27, 2025
- Accounts · 255 to 266Mar 8, 2023 to Mar 19, 2024
- Charity clients · 2 to 3Mar 8, 2023 to Mar 19, 2024
- HNW clients · 48 to 49Mar 8, 2023 to Mar 19, 2024
- Individual clients · 29 to 28Mar 8, 2023 to Mar 19, 2024
- Assets in custody · $55.8M to $117MMar 8, 2023 to Mar 19, 2024
- Employees · 4 to 3Mar 8, 2023 to Mar 19, 2024
- Discretionary RAUM · $160M to $180MMar 8, 2023 to Mar 19, 2024
- HNW RAUM · $146M to $167MMar 8, 2023 to Mar 19, 2024
- Individual RAUM · $12.9M to $11.6MMar 8, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $7.6M to $9.7MMar 8, 2023 to Mar 19, 2024
- RAUM · $168M to $190MMar 8, 2023 to Mar 19, 2024
- Accounts · 264 to 255Nov 10, 2022 to Mar 8, 2023
- Charity clients · 3 to 2Nov 10, 2022 to Mar 8, 2023
- HNW clients · 55 to 48Nov 10, 2022 to Mar 8, 2023
- Assets in custody · $51.0M to $55.8MNov 10, 2022 to Mar 8, 2023
- Discretionary RAUM · $209M to $160MNov 10, 2022 to Mar 8, 2023
- HNW RAUM · $197M to $146MNov 10, 2022 to Mar 8, 2023
- Individual RAUM · $10.2M to $12.9MNov 10, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $9.1M to $7.6MNov 10, 2022 to Mar 8, 2023
- RAUM · $218M to $168MNov 10, 2022 to Mar 8, 2023
Signals
1 dated events
- Kenneth Michael Haines (Chief Compliance Officer & Chief Investment Officer) appeared on Schedule A of E•••••••• I••••••••• P•••••••• L••Jan 18, 2019 · Control person joined · 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
- 303-333-8498reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/1174377/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- E••••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-333-8498reportedpublic record, Form ADV, Mar 30, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026