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•••••••
Legal name I•••••••• I••••••••• A•••••••• L••
Latest filing May 8, 2026
First filing on the tape Jun 18, 2018 · 25 filings
SEC status approved since Jul 20, 2018
RAUM
$394M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$394M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$394M as of May 8, 2026
Mar 11, 2019$133M then
HNW client RAUM$364M as of May 8, 2026
Mar 11, 2019$71.5M then
State-registered IARs (5.B.3)2 as of May 8, 2026
Mar 11, 20191 then
Employees (5.A)4 as of May 8, 2026
Mar 11, 20192 then
Private funds: no history
RAUM +135% over the last fiscal year+47% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 8, 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
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $770,102derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +135%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $36.0M, 36 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$364M92%
- Individuals$30.7M7.8%
- Individual clients
- 40reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 512reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.0M for 36 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• J•••• M•••••• | Fort Collins, Co | May 19, 2016 | 16 y | 0 |
| R••••• S••••• H•••••••Certified Financial Planner | Fort Collins, Co | Jan 1, 2025 | 13 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
- M••••••• T•••• J•••• · Managing Member And Ccocontrolsince 06/2010 · owns 75% or more
- M••••••• E••••••••• O• · Member Of LLC (Administrative Only)since 01/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
- 3•• T•• S•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Collins, Co | 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
- RAUM up 50 %Change between filings · filing Apr 2, 2026RAUM (Item 5.F) moved from $167,992,418 to $394,292,094 (+135.0%) between the annual amendments of 2025-03-19 and 2026-04-02; the peer median change was +15.0% (4549 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 384 to 512Feb 11, 2026 to Mar 25, 2026
- HNW clients · 53 to 77Feb 11, 2026 to Mar 25, 2026
- Individual clients · 35 to 40Feb 11, 2026 to Mar 25, 2026
- Assets in custody · $35.5M to $36.0MFeb 11, 2026 to Mar 25, 2026
- Employees · 3 to 4Feb 11, 2026 to Mar 25, 2026
- Financial planning clients · 26-50 to 51-100Feb 11, 2026 to Mar 25, 2026
- Discretionary RAUM · $154M to $386MFeb 11, 2026 to Mar 25, 2026
- HNW RAUM · $144M to $364MFeb 11, 2026 to Mar 25, 2026
- Individual RAUM · $23.7M to $30.7MFeb 11, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $13.5M to $8.5MFeb 11, 2026 to Mar 25, 2026
- RAUM · $168M to $394MFeb 11, 2026 to Mar 25, 2026
- Advisory activities · 5 to 6Jul 24, 2025 to Nov 10, 2025
- Financial planning clients · 26-50 to 26-50May 6, 2025 to Jul 24, 2025
- Accounts · 246 to 384Jun 12, 2024 to Mar 19, 2025
- Corporate clients · 1.0 to unsetJun 12, 2024 to Mar 19, 2025
- HNW clients · 35 to 53Jun 12, 2024 to Mar 19, 2025
- Individual clients · 25 to 35Jun 12, 2024 to Mar 19, 2025
- Assets in custody · $38.3M to $35.5MJun 12, 2024 to Mar 19, 2025
- HQ city · unset to Jun 12, 2024 to Mar 19, 2025
- HQ state · unset to Jun 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $81.8M to $154MJun 12, 2024 to Mar 19, 2025
- HNW RAUM · $78.2M to $144MJun 12, 2024 to Mar 19, 2025
- Individual RAUM · $13.6M to $23.7MJun 12, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $22.7M to $13.5MJun 12, 2024 to Mar 19, 2025
- RAUM · $104M to $168MJun 12, 2024 to Mar 19, 2025
- Advisory activities · 4 to 5May 13, 2024 to Jun 12, 2024
- Accounts · 186 to 246Dec 15, 2023 to Mar 26, 2024
- Corporate clients · 5 to 1Dec 15, 2023 to Mar 26, 2024
- HNW clients · 34 to 35Dec 15, 2023 to Mar 26, 2024
- Individual clients · 20 to 25Dec 15, 2023 to Mar 26, 2024
- Assets in custody · $71.5M to $38.3MDec 15, 2023 to Mar 26, 2024
- Financial planning clients · 11-25 to 26-50Dec 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $112M to $81.8MDec 15, 2023 to Mar 26, 2024
- HNW RAUM · $98.8M to $78.2MDec 15, 2023 to Mar 26, 2024
- Individual RAUM · $11.4M to $13.6MDec 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $13.2M to $22.7MDec 15, 2023 to Mar 26, 2024
- RAUM · $125M to $104MDec 15, 2023 to Mar 26, 2024
- Other offices · 1 to 0Nov 16, 2023 to Dec 13, 2023
- Related insurance company · false to trueNov 16, 2023 to Dec 13, 2023
- Accounts · 174 to 186Mar 25, 2022 to Mar 13, 2023
Signals
2 dated events
- I•••••••• I••••••••• A••••••• reported RAUM $394.3M, up 135% from $168.0M (2026-02-11 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- I•••••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 18, 2018 · 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
- Website
- I••••••••IA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-549-4720reportedpublic record, Form ADV, May 8, 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026