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.
SEC-registered adviser
Mountain Capital Investment Advisors Inc
Latest filing Jul 21, 2026
First filing on the tape Feb 28, 2017 · 25 filings
SEC status approved since Mar 22, 2017
RAUM
$929M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$929M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$58.1M
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$929M as of Jul 21, 2026
Mar 21, 2018$200M then
HNW client RAUM$629M as of Jul 21, 2026
Mar 21, 2018$50.0M then
State-registered IARs (5.B.3)15 as of Jul 21, 2026
Mar 21, 20185 then
Employees (5.A)17 as of Jul 21, 2026
Mar 21, 20185 then
Private funds: no history
RAUM +25% over the last fiscal year+28% a year over threeIARs 14 to 15offices 3 to 4
Practice profile
derived from the filing of Jul 21, 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
- RAUM per advisor
- $58.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $255,882derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $73.0M, 268 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$629M68%
- Individuals$299M32%
- Charitable organizations$398,3280.0%
- Individual clients
- 883reported
- HNW clients
- 308reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,631reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.0M for 268 clientsreported
- Compensation
- % of AUMreported
- 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
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brandt Phillip Burns | Westminster, Co | May 16, 2011 | 21 y | 4 |
| Karl Richard SpurzemChartered Financial Analyst | Westminster, Co | Jul 5, 2017 | 35 y | 2 |
| Narvel Isaia CasasCertified Financial Planner | Westminster, Co | May 5, 2020 | 17 y | 0 |
| Brian Jay QuintCertified Financial Planner | Glendale, Ca | Jul 27, 2020 | 12 y | 0 |
| Michael J Pollard | Westminster, Co | Nov 24, 2020 | 13 y | 0 |
| Adam A AllgaierCertified Financial Planner | Westminster, Co | Feb 8, 2021 | 10 y | 0 |
| John Robert StruncCertified Financial Planner | Westminster, Co | Sep 21, 2022 | 10 y | 3 |
| Michelle Lee Burns | Westminster, Co | Jan 1, 2025 | 15 y | 0 |
| Conner Scott Murray | Westminster, Co | Jan 1, 2025 | 10 y | 0 |
| John Anthony Rockeman | Westminster, Co | Jan 23, 2025 | 25 y | 0 |
| Ryan Michael Buffone | Westminster, Co | Feb 5, 2025 | 10 y | 0 |
| Parker Brandt Balstad | Westminster, Co | Feb 25, 2025 | 10 y | 0 |
| Jason Randolph Saul | Westminster, Co | May 23, 2025 | 22 y | 0 |
| Savannah ChaconCertified Financial Planner, Chartered Financial Consultant | Westminster, Co | Jun 23, 2025 | 10 y | 2 |
| Taylor Elizabeth Schuerman | Westminster, Co | Nov 19, 2025 | 11 y | 0 |
| Zachary Robert Rhodes | Westminster, Co | Apr 21, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Donald A. Sawyer to Integrated Advisors Network LLCSep 1, 2022 · RIA to RIA
Joined, latest
- Zachary Robert Rhodes from Buck Wealth Strategies, LLCApr 21, 2026 · RIA to RIA
- Savannah Chacon from Mutual Of Omaha Investor Services, Inc.Jun 23, 2025 · RIA to RIA
- John Robert Strunc from Israel Investment Advisors, LLCSep 21, 2022 · Other
- Karl Richard Spurzem from Potomac Research GroupJul 5, 2017 · Other
- Donald A. Sawyer from Morgan StanleyJan 16, 2017 · Other
- Brandt Phillip Burns from Morgan StanleyMay 16, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Phillip Brandt Burns · Managercontrolsince 02/2011 · owns 25% to 50%
- Lee Michelle Burns · Secretarycontrolsince 01/2015 · owns 25% to 50%
- Jay Brian Quint · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- Isaia Narvel Casas · Presidentsince 08/2024 · owns less than 5%
- Stuart Jordan Tarry · Financial Advisorsince 01/2018 · owns less than 5%
Entity owners
- Merchant Investment Management, LLC · Private Partnershipdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Westminster, Co · principal | 16 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- RAUM · $745M to $929MSep 2, 2025 to Mar 11, 2026
- Accounts · 3,239 to 3,631Sep 2, 2025 to Mar 11, 2026
- Advisory employees · 14 to 15Sep 2, 2025 to Mar 11, 2026
- HNW clients · 254 to 308Sep 2, 2025 to Mar 11, 2026
- Individual clients · 859 to 883Sep 2, 2025 to Mar 11, 2026
- Assets in custody · $144M to $73.0MSep 2, 2025 to Mar 11, 2026
- Employees · 14 to 17Sep 2, 2025 to Mar 11, 2026
- Financial planning clients · More than 500 to 251-500Sep 2, 2025 to Mar 11, 2026
- State-registered IARs · 14 to 15Sep 2, 2025 to Mar 11, 2026
- Discretionary RAUM · $745M to $929MSep 2, 2025 to Mar 11, 2026
- HNW RAUM · $539M to $629MSep 2, 2025 to Mar 11, 2026
- Individual RAUM · $206M to $299MSep 2, 2025 to Mar 11, 2026
- Other offices · 3 to 4Apr 28, 2025 to Sep 2, 2025
- Accounts · 2,731 to 3,239Feb 24, 2025 to Apr 28, 2025
- Advisory employees · 12 to 14Feb 24, 2025 to Apr 28, 2025
- Charity clients · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- Corporate clients · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- HNW clients · 202 to 254Feb 24, 2025 to Apr 28, 2025
- Individual clients · 741 to 859Feb 24, 2025 to Apr 28, 2025
- Pension plan clients · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- Pooled vehicle clients · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- Assets in custody · unset to 143985320.0Feb 24, 2025 to Apr 28, 2025
- Custody of client assets · false to trueFeb 24, 2025 to Apr 28, 2025
- Employees · 12 to 14Feb 24, 2025 to Apr 28, 2025
- Financial planning clients · More than 500 to More than 500Feb 24, 2025 to Apr 28, 2025
- State-registered IARs · 12 to 14Feb 24, 2025 to Apr 28, 2025
- Discretionary RAUM · $608M to $745MFeb 24, 2025 to Apr 28, 2025
- HNW RAUM · $370M to $539MFeb 24, 2025 to Apr 28, 2025
- Individual RAUM · $238M to $206MFeb 24, 2025 to Apr 28, 2025
- Pension RAUM · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- Pooled vehicle RAUM · 0.0 to unsetFeb 24, 2025 to Apr 28, 2025
- RAUM · $608M to $745MFeb 24, 2025 to Apr 28, 2025
- Accounts · 2,171 to 2,731Mar 24, 2023 to Mar 11, 2024
- HNW clients · 80 to 202Mar 24, 2023 to Mar 11, 2024
- Individual clients · 675 to 741Mar 24, 2023 to Mar 11, 2024
- Discretionary RAUM · $440M to $608MMar 24, 2023 to Mar 11, 2024
- HNW RAUM · $159M to $370MMar 24, 2023 to Mar 11, 2024
- Individual RAUM · $281M to $238MMar 24, 2023 to Mar 11, 2024
- RAUM · $440M to $608MMar 24, 2023 to Mar 11, 2024
- Accounts · 2,192 to 2,171Mar 18, 2022 to Mar 24, 2023
Signals
7 dated events
- Mountain Capital Investment Advisors Inc reported RAUM $608.0M, up 38% from $440.0M (2023-03-24 to 2024-03-11)Mar 11, 2024 · RAUM change · derived
- Scott Conner Murray (Director Of Operations) no longer on Schedule A of Mountain Capital Investment Advisors Inc (listed 2023-03-24, absent 2024-03-11)Mar 11, 2024 · Control person left · inference
- Donald A. Sawyer left Mountain Capital Investment Advisors Inc for Integrated Advisors Network Llc (registered 2019-11-15)Sep 1, 2022 · Advisor changed firm · fact
- Jay Brian Quint (Chief Compliance Officer) appeared on Schedule A of Mountain Capital Investment Advisors IncMar 18, 2022 · Control person joined · fact
- Scott Conner Murray (Director Of Operations) appeared on Schedule A of Mountain Capital Investment Advisors IncMar 18, 2022 · Control person joined · fact
- William Robert Loesch (Chief Compliance Officer) no longer on Schedule A of Mountain Capital Investment Advisors Inc (listed 2021-03-24, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- Mountain Capital Investment Advisors, Llc filed its initial SEC registration (Form ADV)Feb 28, 2017 · 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@mountaincapital.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 720-500-0050reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/mountain-capital/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MOUNTAINCAPITAL.USreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 720-500-0050reportedpublic record, Form ADV, Jul 21, 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
- $58.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026