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
H••••••• A•••• M••••••••• L••
Latest filing May 29, 2026
First filing on the tape Feb 18, 2020 · 10 filings
SEC status approved since Mar 20, 2020
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$218M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
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
10 filings and snapshots on the tape
RAUM$218M as of May 29, 2026
Feb 11, 2021$150M then
HNW client RAUM$202M as of May 29, 2026
Feb 11, 2021$144M then
State-registered IARs (5.B.3)2 as of May 29, 2026
Feb 11, 20212 then
Employees (5.A)2 as of May 29, 2026
Feb 11, 20212 then
Private funds: no history
RAUM +39% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 29, 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
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $924,648derivedRAUM 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
- +39%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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $5.1M, 2 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$202M93%
- Individuals$16.0M7.3%
- Individual clients
- 28reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 236reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.1M for 2 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 |
|---|---|---|---|---|
| E•••• S•••• B••••Chartered Financial Analyst | Denver, Co | Dec 5, 2011 | 26 y | 2 |
| S•••••••• E••••••••• E•••••Chartered Financial Analyst | Denver, Co | Jan 2, 2018 | 20 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
- E•••• S•••• B•••• from U•• F•••••••• S••••••• I•••Dec 5, 2011 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E••••• S•••• · Managing Member/Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••••• E• E•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing May 29, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-27, yes on the filing of 2026-05-29peers: independent wealth managers, $100M to $500M (5,678)
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $156,667,425 to $218,216,975 (+39.0%) between the annual amendments of 2025-03-05 and 2026-03-27; the peer median change was +15.0% (4549 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 92% percentile
What changed
consecutive filings, newest first
- Assets in custody · unset to 5115724.0Mar 27, 2026 to May 29, 2026
- Custody of client assets · false to trueMar 27, 2026 to May 29, 2026
- Accounts · 220 to 236Mar 5, 2025 to Mar 27, 2026
- HNW clients · 65 to 67Mar 5, 2025 to Mar 27, 2026
- Individual clients · 20 to 28Mar 5, 2025 to Mar 27, 2026
- Assets in custody · 1323528.0 to unsetMar 5, 2025 to Mar 27, 2026
- Custody of client assets · true to falseMar 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $157M to $218MMar 5, 2025 to Mar 27, 2026
- HNW RAUM · $148M to $202MMar 5, 2025 to Mar 27, 2026
- Individual RAUM · $8.4M to $16.0MMar 5, 2025 to Mar 27, 2026
- RAUM · $157M to $218MMar 5, 2025 to Mar 27, 2026
- Accounts · 210 to 220Mar 20, 2024 to Mar 5, 2025
- HNW clients · 64 to 65Mar 20, 2024 to Mar 5, 2025
- Individual clients · 16 to 20Mar 20, 2024 to Mar 5, 2025
- Assets in custody · $1.3M to $1.3MMar 20, 2024 to Mar 5, 2025
- Financial planning clients · 11-25 to 11-25Mar 20, 2024 to Mar 5, 2025
- Discretionary RAUM · $160M to $157MMar 20, 2024 to Mar 5, 2025
- HNW RAUM · $154M to $148MMar 20, 2024 to Mar 5, 2025
- Individual RAUM · $6.5M to $8.4MMar 20, 2024 to Mar 5, 2025
- RAUM · $160M to $157MMar 20, 2024 to Mar 5, 2025
- Accounts · 207 to 210Mar 21, 2023 to Mar 20, 2024
- HNW clients · 66 to 64Mar 21, 2023 to Mar 20, 2024
- Individual clients · 17 to 16Mar 21, 2023 to Mar 20, 2024
- Assets in custody · $1.2M to $1.3MMar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $162M to $160MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $156M to $154MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $6.6M to $6.5MMar 21, 2023 to Mar 20, 2024
- RAUM · $162M to $160MMar 21, 2023 to Mar 20, 2024
- Accounts · 205 to 207Mar 16, 2022 to Mar 21, 2023
- HNW clients · 65 to 66Mar 16, 2022 to Mar 21, 2023
- Assets in custody · $1.3M to $1.2MMar 16, 2022 to Mar 21, 2023
- Discretionary RAUM · $175M to $162MMar 16, 2022 to Mar 21, 2023
- HNW RAUM · $168M to $156MMar 16, 2022 to Mar 21, 2023
- Individual RAUM · $7.0M to $6.6MMar 16, 2022 to Mar 21, 2023
- RAUM · $175M to $162MMar 16, 2022 to Mar 21, 2023
- Accounts · 190 to 205Feb 11, 2021 to Mar 16, 2022
- HNW clients · 63 to 65Feb 11, 2021 to Mar 16, 2022
- Individual clients · 16 to 17Feb 11, 2021 to Mar 16, 2022
- Assets in custody · $1.3M to $1.3MFeb 11, 2021 to Mar 16, 2022
- Discretionary RAUM · $150M to $175MFeb 11, 2021 to Mar 16, 2022
Signals
1 dated events
- H••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 18, 2020 · 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 phone
- 303-357-4602reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-357-4602reportedpublic record, Form ADV, May 29, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026