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
T••••••• • C••
Legal name S•••• L•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Nov 29, 2011 · 20 filings
SEC status approved since Apr 27, 2011
RAUM
$355M
reported, Item 5.F
Discretionary
4.2%
of RAUM
Private clients
100%
$355M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$355M
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
20 filings and snapshots on the tape
RAUM$355M as of Mar 19, 2026
Feb 13, 2012$325M then
HNW client RAUM$355M as of Mar 19, 2026
Mar 19, 2018$176M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Feb 13, 20120 then
Employees (5.A)1 as of Mar 19, 2026
Mar 5, 20131 then
Private funds: no history
RAUM -9.0% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $355MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $118MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.2%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
- -9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$355M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B••••••• T•••••••Chartered Financial Analyst | Denver, Co | Nov 14, 2025 | 31 y | 1 |
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
- T•••••••• J••••• B••••••• · Managing Member/Chief Compliance Officercontrolsince 03/2011 · 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.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Apr 2, 2025 to Mar 19, 2026
- Discretionary RAUM · $25.0M to $15.0MApr 2, 2025 to Mar 19, 2026
- HNW RAUM · $390M to $355MApr 2, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $365M to $340MApr 2, 2025 to Mar 19, 2026
- RAUM · $390M to $355MApr 2, 2025 to Mar 19, 2026
- Financial planning clients · unset to Sep 16, 2024 to Apr 2, 2025
- HQ city · unset to Sep 16, 2024 to Apr 2, 2025
- HQ state · unset to Sep 16, 2024 to Apr 2, 2025
- Discretionary RAUM · $23.0M to $25.0MSep 16, 2024 to Apr 2, 2025
- HNW RAUM · $318M to $390MSep 16, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $295M to $365MSep 16, 2024 to Apr 2, 2025
- RAUM · $318M to $390MSep 16, 2024 to Apr 2, 2025
- BD registered reps · 1 to 0Mar 28, 2024 to Aug 30, 2024
- Discretionary RAUM · $15.0M to $23.0MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $236M to $318MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $221M to $295MMar 29, 2023 to Mar 28, 2024
- RAUM · $236M to $318MMar 29, 2023 to Mar 28, 2024
- Accounts · 4 to 3Oct 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $10.0M to $15.0MOct 25, 2022 to Mar 29, 2023
- HNW RAUM · $210M to $236MOct 25, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $300M to $221MOct 25, 2022 to Mar 29, 2023
- RAUM · $310M to $236MOct 25, 2022 to Mar 29, 2023
- Accounts · 11 to 4Mar 18, 2021 to Oct 25, 2022
- Discretionary RAUM · $31.0M to $10.0MMar 18, 2021 to Oct 25, 2022
- HNW RAUM · $188M to $210MMar 18, 2021 to Oct 25, 2022
- Individual RAUM · 2000000.0 to unsetMar 18, 2021 to Oct 25, 2022
- Non-discretionary RAUM · $359M to $300MMar 18, 2021 to Oct 25, 2022
- RAUM · $390M to $310MMar 18, 2021 to Oct 25, 2022
- Accounts · 9 to 11Oct 21, 2020 to Mar 18, 2021
- Discretionary RAUM · $27.0M to $31.0MOct 21, 2020 to Mar 18, 2021
- HNW RAUM · $180M to $188MOct 21, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $355M to $359MOct 21, 2020 to Mar 18, 2021
- RAUM · $382M to $390MOct 21, 2020 to Mar 18, 2021
- Other offices · 1 to 0Mar 13, 2019 to Apr 9, 2020
- Discretionary RAUM · $14.0M to $27.0MMar 13, 2019 to Apr 9, 2020
- HNW RAUM · $160M to $180MMar 13, 2019 to Apr 9, 2020
- Non-discretionary RAUM · $343M to $355MMar 13, 2019 to Apr 9, 2020
- RAUM · $357M to $382MMar 13, 2019 to Apr 9, 2020
- Discretionary RAUM · $27.0M to $14.0MMar 19, 2018 to Mar 13, 2019
- HNW RAUM · $176M to $160MMar 19, 2018 to Mar 13, 2019
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
- 303-804-0339reportedpublic record, Form ADV, Mar 19, 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
- $355Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026