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
S••••• I••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape May 15, 2020 · 16 filings
SEC status approved since Jun 12, 2020
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$114M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.2M
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$160M as of Mar 23, 2026
Mar 18, 2021$152M then
HNW client RAUM$95.9M as of Mar 23, 2026
Mar 18, 2021$96.6M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 18, 20213 then
Employees (5.A)3 as of Mar 23, 2026
Mar 18, 20214 then
Private funds1 as of Sep 3, 2025
Mar 18, 20212 then
RAUM +12% over the last fiscal year+0.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $53.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $558,366derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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 persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.9M60%
- Pooled investment vehicles$45.3M28%
- Individuals$18.5M12%
- Individual clients
- 38reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 286reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.72 fund_share=0.28 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••• J•••• O••••••Chartered Financial Analyst | Colorado Springs, Co | Nov 7, 2011 | 19 y | 1 |
| D•••• A••••• H••••Chartered Financial Analyst | Colorado Springs, Co | Nov 7, 2011 | 15 y | 1 |
| L•••• K•••• H••• | Colorado Springs, Co | Aug 28, 2020 | 18 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
- L•••• K•••• H••• from T• R••• P•••• A••••••• S•••••••• I•••Aug 28, 2020 · Other
- D•••• A••••• H•••• from H•••••• T••••••• E••••••••• L•••Nov 7, 2011 · Other
- E•••••• J•••• O•••••• from H•••••• T••••••• E••••••••• L•••Nov 7, 2011 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• I••••••••• A••••••••• C••••• A•• E••••• F•••• L• | Hedge Fund | $37.4M | 40 | Mar 18, 2021 |
| A•• H••••••••• C•••••• P••••••• I• L•no longer reported | Private Equity Fund | $20.5M | 99 | May 15, 2020 |
Owners and control persons
Schedule A and B, latest filing
- H••••• D••••• A••••• · Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
- O••••••• E••••••• J•••• · Chief Investment Officercontrolsince 06/2011 · owns less than 5%
- H••••• D••••• A••••• · Managing Membercontrolsince 09/2009 · owns 50% to 75% of D• P•••••••• L••
- O••••••• E••••••• J•••• · Managing Membercontrolsince 09/2009 · owns 50% to 75% of D• P•••••••• L••
Entity owners
- D• P•••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• C•••••• M••••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 3 | 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
- custody status changedChange between filings · filing Mar 23, 2026custody of client assets (Item 9.A): yes on the filing of 2025-09-03, no on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 270 to 286Sep 3, 2025 to Mar 23, 2026
- HNW clients · 34 to 37Sep 3, 2025 to Mar 23, 2026
- Individual clients · 41 to 38Sep 3, 2025 to Mar 23, 2026
- Assets in custody · 39611349.0 to unsetSep 3, 2025 to Mar 23, 2026
- Custody of client assets · true to falseSep 3, 2025 to Mar 23, 2026
- Private funds · 1 to unsetSep 3, 2025 to Mar 23, 2026
- Discretionary RAUM · $143M to $160MSep 3, 2025 to Mar 23, 2026
- HNW RAUM · $81.7M to $95.9MSep 3, 2025 to Mar 23, 2026
- Individual RAUM · $21.3M to $18.5MSep 3, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $39.6M to $45.3MSep 3, 2025 to Mar 23, 2026
- RAUM · $143M to $160MSep 3, 2025 to Mar 23, 2026
- Employees · 5 to 3Jun 13, 2025 to Sep 3, 2025
- HQ city · to COLORADO SPRINGSJun 13, 2025 to Sep 3, 2025
- HQ state · to COJun 13, 2025 to Sep 3, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2025 to Jun 13, 2025
- Accounts · 277 to 270Nov 5, 2024 to Mar 26, 2025
- HNW clients · 37 to 34Nov 5, 2024 to Mar 26, 2025
- Assets in custody · $37.4M to $39.6MNov 5, 2024 to Mar 26, 2025
- HQ city · unset to Nov 5, 2024 to Mar 26, 2025
- HQ state · unset to Nov 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $139M to $143MNov 5, 2024 to Mar 26, 2025
- HNW RAUM · $80.6M to $81.7MNov 5, 2024 to Mar 26, 2025
- Individual RAUM · $21.0M to $21.3MNov 5, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $37.4M to $39.6MNov 5, 2024 to Mar 26, 2025
- RAUM · $139M to $143MNov 5, 2024 to Mar 26, 2025
- HQ city · COLORADO SPRINGS to unsetMar 26, 2024 to Oct 22, 2024
- HQ state · CO to unsetMar 26, 2024 to Oct 22, 2024
- Accounts · 289 to 277Mar 30, 2023 to Mar 20, 2024
- HNW clients · 42 to 37Mar 30, 2023 to Mar 20, 2024
- Pooled vehicle clients · 2 to 1Mar 30, 2023 to Mar 20, 2024
- Assets in custody · $36.3M to $37.4MMar 30, 2023 to Mar 20, 2024
- Private funds · 2 to 1Mar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $138M to $139MMar 30, 2023 to Mar 20, 2024
- HNW RAUM · $81.3M to $80.6MMar 30, 2023 to Mar 20, 2024
- Individual RAUM · $17.6M to $21.0MMar 30, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $20.5M to $0Mar 30, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $56.8M to $37.4MMar 30, 2023 to Mar 20, 2024
- RAUM · $159M to $139MMar 30, 2023 to Mar 20, 2024
- Accounts · 338 to 289May 19, 2022 to Mar 30, 2023
- Corporate clients · 1.0 to unsetMay 19, 2022 to Mar 30, 2023
Signals
1 dated events
- S••••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/2608145reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-528-8400reportedpublic record, Form ADV, Mar 23, 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
- $53.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026