DFX Intelligence
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B••• O•• F•••• I••••• A••••••• S••••••• L••
Other adviserSEC-registered
Other adviser, reporting $310M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $310M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -2.9%
- Private clients
- 1.5% of RAUM, $4.8M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- discretionary share of RAUM 0Peer median 1
- Contact points 1
Every filed figure, and the identifiersCRD 150087 · SEC 801-71229 · 17 filingsShowHide
CRD 150087SEC 801-71229First filing on the tape Mar 27, 2012, latest Jan 30, 2026SEC status approved since Mar 15, 2010IAPD
RAUM
$310M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
1.5%
$4.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$310M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$310M as of Jan 30, 2026
Mar 27, 2012$165M then
HNW client RAUM$4.8M as of Jan 30, 2026
Mar 21, 2018$5.0M then
State-registered IARs (5.B.3)1 as of Jan 30, 2026
Mar 27, 20120 then
Employees (5.A)1 as of Jan 30, 2026
Jan 14, 20131 then
Private funds: no history
RAUM -2.9% over the last fiscal year-4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $310MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $103MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- Banks and thrifts$305M98%
- High-net-worth individuals$4.8M1.5%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• R••••• O•• | Golden, Co | Feb 26, 2025 | 37 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••• W•••••• R••••• · Managing Member/Chief Compliance Officercontrolsince 12/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 3Jan 27, 2025 to Jan 30, 2026
- HNW RAUM · $3.9M to $4.8MJan 27, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $319M to $310MJan 27, 2025 to Jan 30, 2026
- RAUM · $319M to $310MJan 27, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Mar 19, 2024 to Jan 27, 2025
- HQ city · unset to Mar 19, 2024 to Jan 27, 2025
- HQ state · unset to Mar 19, 2024 to Jan 27, 2025
- Organization form · Limited Liability Company to Limited Liability PartnershipMar 19, 2024 to Jan 27, 2025
- HNW RAUM · $3.9M to $3.9MMar 19, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $299M to $319MMar 19, 2024 to Jan 27, 2025
- RAUM · $299M to $319MMar 19, 2024 to Jan 27, 2025
- HNW RAUM · $4.0M to $3.9MFeb 2, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $350M to $299MFeb 2, 2023 to Mar 19, 2024
- RAUM · $350M to $299MFeb 2, 2023 to Mar 19, 2024
- HNW RAUM · $5.0M to $4.0MJan 5, 2023 to Feb 2, 2023
- Non-discretionary RAUM · $355M to $350MJan 5, 2023 to Feb 2, 2023
- RAUM · $355M to $350MJan 5, 2023 to Feb 2, 2023
- Non-discretionary RAUM · $300M to $355MMar 23, 2021 to Mar 25, 2022
- RAUM · $300M to $355MMar 23, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $212M to $300MJun 26, 2020 to Mar 23, 2021
- RAUM · $212M to $300MJun 26, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $188M to $212MMar 18, 2019 to Mar 26, 2020
- RAUM · $188M to $212MMar 18, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $190M to $188MMar 21, 2018 to Mar 18, 2019
- RAUM · $190M to $188MMar 21, 2018 to Mar 18, 2019
- Accounts · 3 to 2Mar 20, 2017 to Mar 21, 2018
- Charity clients · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- Corporate clients · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- HNW clients · unset to 1.0Mar 20, 2017 to Mar 21, 2018
- Individual clients · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- Pension plan clients · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- HNW RAUM · unset to 5000000.0Mar 20, 2017 to Mar 21, 2018
- Non-discretionary RAUM · $199M to $190MMar 20, 2017 to Mar 21, 2018
- RAUM · $199M to $190MMar 20, 2017 to Mar 21, 2018
- Non-discretionary RAUM · $210M to $199MFeb 8, 2016 to Mar 20, 2017
- RAUM · $210M to $199MFeb 8, 2016 to Mar 20, 2017
- Non-discretionary RAUM · $179M to $210MMar 17, 2015 to Feb 8, 2016
- RAUM · $179M to $210MMar 17, 2015 to Feb 8, 2016
Signals
No event on the tape.
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $310Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026