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
R• A•••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 19, 2012 · 28 filings
SEC status approved since Jan 29, 2014
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$107M as of Mar 3, 2026
Mar 19, 2012$88.4M then
HNW client RAUM$91.1M as of Mar 3, 2026
Jan 23, 2018$42.6M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Mar 3, 2026
Feb 3, 20153 then
Private funds: no history
RAUM -29% over the last fiscal year-2.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $427,098derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $107MreportedItem 5.I
- 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$91.1M85%
- Individuals$16.1M15%
- Individual clients
- 168reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 251reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• A•••• S•••••• | Colorado Springs, Co | Apr 10, 2012 | 26 y | 3 |
| W•••••• E••• R•••• | Colorado Springs, Co | Apr 10, 2012 | 39 y | 3 |
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
- S••• A•••• S•••••• from M••••• S••••••Apr 10, 2012 · Other
- W•••••• E••• R•••• from M••••• S••••••Apr 10, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• W••••••• E••• · Managing Member And Chief Compliance Officercontrolsince 06/2011 · owns 50% to 75%
- S••••••• S•••• A•••• · Managing Membercontrolsince 06/2011 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 3, 2026accounts (Item 5.F.2.f) moved from 671.0 to 251.0 (-63.0%) between the annual amendments of 2025-01-23 and 2026-03-03; the peer median change was +5.0% (3686 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.8% percentile
- discretionary share shiftChange between filings · filing Mar 3, 2026discretionary share of RAUM moved from 68.0% to 100.0% between the annual amendments of 2025-01-23 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
- RAUM down 25 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $150,188,314 to $107,201,521 (-29.0%) between the annual amendments of 2025-01-23 and 2026-03-03; the peer median change was +15.0% (4549 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 1.4% percentile
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 31.0% to 85.0% between the annual amendments of 2025-01-23 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 671 to 251Jan 23, 2025 to Feb 26, 2026
- HNW clients · 36 to 83Jan 23, 2025 to Feb 26, 2026
- Individual clients · 249 to 168Jan 23, 2025 to Feb 26, 2026
- Discretionary RAUM · $103M to $107MJan 23, 2025 to Feb 26, 2026
- HNW RAUM · $46.8M to $91.1MJan 23, 2025 to Feb 26, 2026
- Individual RAUM · $103M to $16.1MJan 23, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $47.4M to $0Jan 23, 2025 to Feb 26, 2026
- RAUM · $150M to $107MJan 23, 2025 to Feb 26, 2026
- Accounts · 677 to 671Jan 29, 2024 to Jan 23, 2025
- HNW clients · 23 to 36Jan 29, 2024 to Jan 23, 2025
- Individual clients · 224 to 249Jan 29, 2024 to Jan 23, 2025
- Financial planning clients · 1-10 to 1-10Jan 29, 2024 to Jan 23, 2025
- Discretionary RAUM · $89.9M to $103MJan 29, 2024 to Jan 23, 2025
- HNW RAUM · $74.6M to $46.8MJan 29, 2024 to Jan 23, 2025
- Individual RAUM · $54.8M to $103MJan 29, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $39.6M to $47.4MJan 29, 2024 to Jan 23, 2025
- RAUM · $129M to $150MJan 29, 2024 to Jan 23, 2025
- Accounts · 439 to 677Jan 17, 2023 to Jan 29, 2024
- HNW clients · 19 to 23Jan 17, 2023 to Jan 29, 2024
- Individual clients · 439 to 224Jan 17, 2023 to Jan 29, 2024
- Discretionary RAUM · $66.9M to $89.9MJan 17, 2023 to Jan 29, 2024
- HNW RAUM · $59.3M to $74.6MJan 17, 2023 to Jan 29, 2024
- Individual RAUM · $55.5M to $54.8MJan 17, 2023 to Jan 29, 2024
- Non-discretionary RAUM · $48.0M to $39.6MJan 17, 2023 to Jan 29, 2024
- RAUM · $115M to $129MJan 17, 2023 to Jan 29, 2024
- Accounts · 752 to 439Nov 17, 2022 to Jan 17, 2023
- HNW clients · 25 to 19Nov 17, 2022 to Jan 17, 2023
- Individual clients · 384 to 439Nov 17, 2022 to Jan 17, 2023
- Discretionary RAUM · $55.7M to $66.9MNov 17, 2022 to Jan 17, 2023
- HNW RAUM · $47.2M to $59.3MNov 17, 2022 to Jan 17, 2023
- Individual RAUM · $54.3M to $55.5MNov 17, 2022 to Jan 17, 2023
- Non-discretionary RAUM · $45.7M to $48.0MNov 17, 2022 to Jan 17, 2023
- RAUM · $101M to $115MNov 17, 2022 to Jan 17, 2023
- Accounts · 408 to 752Jan 27, 2021 to Jan 19, 2022
- HNW clients · 29 to 25Jan 27, 2021 to Jan 19, 2022
- Individual clients · 183 to 384Jan 27, 2021 to Jan 19, 2022
- Discretionary RAUM · $57.6M to $55.7MJan 27, 2021 to Jan 19, 2022
- HNW RAUM · $58.5M to $47.2MJan 27, 2021 to Jan 19, 2022
- Individual RAUM · $44.9M to $54.3MJan 27, 2021 to Jan 19, 2022
- Non-discretionary RAUM · $45.9M to $45.7MJan 27, 2021 to Jan 19, 2022
Signals
1 dated events
- R• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 16, 2014 · 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
- b••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- k••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 719-219-8444reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 719-623-0327reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-998-3466reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 719-219-8444reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- r•••••••••.comreportedpublished 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
- $53.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026