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
B•••• W••••• M••••••••• I•••
Latest filing May 19, 2026
First filing on the tape Feb 21, 2012 · 16 filings
SEC status approved since Nov 18, 2021
RAUM
$206M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$203M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$51.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$206M as of May 19, 2026
Feb 21, 2012$45.0M then
HNW client RAUM$174M as of May 19, 2026
Jan 26, 2022$90.3M then
State-registered IARs (5.B.3)3 as of May 19, 2026
Feb 21, 20120 then
Employees (5.A)3 as of May 19, 2026
Jan 26, 20223 then
Private funds: no history
RAUM +32% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $51.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $338,151derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M85%
- Individuals$28.6M14%
- Corporations and businesses$3.1M1.5%
- Charitable organizations$1,2980.0%
- Individual clients
- 74reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 609reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| S•••••• D••••• H•••••••• | Colorado Springs, Co | Sep 20, 2017 | 14 y | 4 |
| C•••• A•••• F•••• | Colorado Springs, Co | Feb 26, 2020 | 21 y | 1 |
| T•••••• O•••• S•••• | Colorado Springs, Co | Jul 10, 2024 | 10 y | 1 |
| D••••• C••• B•••• | Colorado Springs, Co | Jan 3, 2025 | 29 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 headcount0 left over 36 months
Left, latest
- E••• F••••••• V••••• to A••••••• W••••• M•••••••••Sep 28, 2021 · Other
Joined, latest
- D••••• C••• B•••• from A••••••••• I••••••••Jan 3, 2025 · RIA to RIA
- T•••••• O•••• S•••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- E••• F••••••• V••••• from A••••••• W••••• M•••••••••Apr 14, 2021 · Other
- S•••••• D••••• H•••••••• from A••••• A•• P••••••• S•••••••Sep 20, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••••• C••• · Presidentcontrolsince 01/2010 · owns 75% or more
- B••••••• J••• S•••••• · Membersince 01/2021 · owns 5% to 10%
- F••••• C••••• A•••• · Member/Investment Advisor Representativesince 01/2021 · owns 5% to 10%
- H••••••••• S••••••• D••••• · Member/Chief Compliance Officer/Chief Executive Officersince 09/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list B•••• W••••• M••••••••• I••• as a related person
- 289016 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 591 to 609Nov 10, 2025 to Jan 13, 2026
- Charity clients · 0 to 1Nov 10, 2025 to Jan 13, 2026
- HNW clients · 85 to 86Nov 10, 2025 to Jan 13, 2026
- Individual clients · 76 to 74Nov 10, 2025 to Jan 13, 2026
- Discretionary RAUM · $199M to $203MNov 10, 2025 to Jan 13, 2026
- HNW RAUM · $170M to $174MNov 10, 2025 to Jan 13, 2026
- Individual RAUM · $28.1M to $28.6MNov 10, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $3.0M to $3.4MNov 10, 2025 to Jan 13, 2026
- RAUM · $202M to $206MNov 10, 2025 to Jan 13, 2026
- Accounts · 570 to 591Jul 1, 2025 to Nov 10, 2025
- Corporate clients · 3 to 1Jul 1, 2025 to Nov 10, 2025
- HNW clients · 82 to 85Jul 1, 2025 to Nov 10, 2025
- Discretionary RAUM · $176M to $199MJul 1, 2025 to Nov 10, 2025
- HNW RAUM · $151M to $170MJul 1, 2025 to Nov 10, 2025
- Individual RAUM · $22.6M to $28.1MJul 1, 2025 to Nov 10, 2025
- Non-discretionary RAUM · $1.1M to $3.0MJul 1, 2025 to Nov 10, 2025
- RAUM · $177M to $202MJul 1, 2025 to Nov 10, 2025
- Accounts · 545 to 570Jan 29, 2025 to Jul 1, 2025
- Corporate clients · 0 to 3Jan 29, 2025 to Jul 1, 2025
- HNW clients · 80 to 82Jan 29, 2025 to Jul 1, 2025
- Individual clients · 74 to 76Jan 29, 2025 to Jul 1, 2025
- Pension plan clients · 2 to 0Jan 29, 2025 to Jul 1, 2025
- Financial planning clients · 101-250 to 101-250Jan 29, 2025 to Jul 1, 2025
- Discretionary RAUM · $155M to $176MJan 29, 2025 to Jul 1, 2025
- HNW RAUM · $132M to $151MJan 29, 2025 to Jul 1, 2025
- Individual RAUM · $21.2M to $22.6MJan 29, 2025 to Jul 1, 2025
- Non-discretionary RAUM · $1.1M to $1.1MJan 29, 2025 to Jul 1, 2025
- Pension RAUM · $3.0M to $0Jan 29, 2025 to Jul 1, 2025
- RAUM · $156M to $177MJan 29, 2025 to Jul 1, 2025
- Accounts · 494 to 545Mar 1, 2024 to Jan 29, 2025
- HNW clients · 68 to 80Mar 1, 2024 to Jan 29, 2025
- Individual clients · 70 to 74Mar 1, 2024 to Jan 29, 2025
- Pension plan clients · 3 to 2Mar 1, 2024 to Jan 29, 2025
- Discretionary RAUM · $132M to $155MMar 1, 2024 to Jan 29, 2025
- HNW RAUM · $110M to $132MMar 1, 2024 to Jan 29, 2025
- Individual RAUM · $23.4M to $21.2MMar 1, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $1.1M to $1.1MMar 1, 2024 to Jan 29, 2025
- Pension RAUM · $423,528 to $3.0MMar 1, 2024 to Jan 29, 2025
- RAUM · $133M to $156MMar 1, 2024 to Jan 29, 2025
- Accounts · 445 to 494Jul 26, 2023 to Mar 1, 2024
Signals
1 dated events
- B•••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 19, 2021 · 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
- info@bauerheitzmann.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 719-575-9000reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- bauerheitzmann.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719 575-9000reportedpublic record, Form ADV, May 19, 2026
- Contact form
- bauerheitzmann.com/contact-usreportedpublished 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
- $51.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026