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
M•••••• F•••••••• P•••••••
Legal name P••••••• W••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Jul 16, 2026 · 1 filings
SEC status approved since Jul 16, 2026
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$26.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $104M
HNW client RAUM: $42.9M
State-registered IARs (5.B.3): 4
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
- RAUM per advisor
- $26.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $129,468derivedRAUM 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
- 0.8derived5 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, selection of other advisers, publications, 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$61.1M59%
- High-net-worth individuals$42.9M41%
- Individual clients
- 298reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 803reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• D• M•••••• | Pueblo, Co | Sep 25, 2009 | 18 y | 1 |
| J•••••• R••••••• Y•••• | Greenwood Village, Co | Apr 1, 2014 | 21 y | 3 |
| S•••••• L•• F•••• | Colorado Springs, Co | Sep 28, 2018 | 15 y | 0 |
| C•••• A••••• M•••• | Pueblo, Co | Dec 1, 2021 | 27 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
- L•••••• L••••••• T••••• to F•••••• W••••• C•••••••• L••Apr 1, 2025 · RIA to a state-registered adviser
- J•••• D•••••• E•••• to S•••• W••••• S•••••••••Jul 29, 2020 · RIA to a state-registered adviser
- N•••••• K••• N•••••• to I••• M••••••• F••••••••• I•••Oct 18, 2016 · Other
Joined, latest
- L•••••• L••••••• T••••• from F•••••• W••••• C•••••••• L••Feb 26, 2024 · Other
- J•••••• R••••••• Y•••• from C•••••••• F••••••••• I•••Apr 1, 2014 · Other
- N•••••• K••• N•••••• from R•••••• W••••• A•••••••• I•••Sep 25, 2009 · Other
- J•••••• D• M•••••• from R•••••• W••••• A•••••••• I•••Sep 25, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Pueblo, Co · principal | 3 | 0 | 0 | ||
| Greenwood Village, Co | 2 | 0 | 0 | ||
| Marietta, Ga | 0 | 0 | 0 |
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
1 dated events
- L•••••• L••••••• T••••• left M•••••• F•••••••• P••••••• for F•••••• W••••• C•••••••• L•• (registered 2025-04-03)Apr 1, 2025 · Advisor changed firm · 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
- info@mathiesfp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 844-234-3939reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-225-0328reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 719-434-3939reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-434-3939reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- mathiesfp.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mathiesfp.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $26.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026