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
P••••• F•••••••• S•••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Dec 20, 2023 · 10 filings
SEC status approved since May 14, 2024
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.3M
derived; firm RAUM over IAPD count
Employees
6
4 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$148M as of Feb 3, 2026
Mar 26, 2024$118M then
HNW client RAUM$111M as of Feb 3, 2026
Mar 26, 2024$77.7M then
State-registered IARs (5.B.3)4 as of Feb 3, 2026
Mar 26, 20242 then
Employees (5.A)6 as of Feb 3, 2026
Mar 26, 20247 then
Private funds: no history
RAUM +9.5% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Feb 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
- RAUM per advisor
- $49.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $326,465derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $3.4M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M75%
- Individuals$35.5M24%
- Corporations and businesses$1.4M0.9%
- Individual clients
- 113reported
- HNW clients
- 43reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 453reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 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 |
|---|---|---|---|---|
| M••• R•••••• P•••••Certified Financial Planner | Centennial, Co | May 18, 2017 | 29 y | 1 |
| J••••••• M•••••••• | Centennial, Co | Dec 11, 2025 | 11 y | 0 |
| J•••••• W••••Certified Financial Planner | Centennial, Co | Dec 19, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- M••• R•••••• M•••• to M•••• F•••••••• S••••••••Apr 17, 2026 · RIA to a state-registered adviser
Joined, latest
- M••• R•••••• M•••• from V••••• C•••••• M••••••••• L••Aug 6, 2020 · RIA to RIA
- M••• R•••••• P••••• from A•••••• A••••••• S•••••••May 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M•••• R•••••• · Chief Compliance Officercontrolsince 01/2023 · owns 10% to 25%
- P•••••• M•••• R•••••• · Owner/Presidentcontrolsince 11/2000 · owns 75% or more
Related persons
Schedule D 7.A
- P••••• F•••••••• S•••••••• I•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centennial, Co · principal | 3 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 3, 2026discretionary share of RAUM moved from 85.0% to 100.0% between the annual amendments of 2025-01-09 and 2026-02-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 418 to 453Oct 6, 2025 to Feb 3, 2026
- Advisory employees · 2 to 4Oct 6, 2025 to Feb 3, 2026
- Corporate clients · unset to 3.0Oct 6, 2025 to Feb 3, 2026
- HNW clients · 39 to 43Oct 6, 2025 to Feb 3, 2026
- Individual clients · 106 to 113Oct 6, 2025 to Feb 3, 2026
- Pension plan clients · 4 to 2Oct 6, 2025 to Feb 3, 2026
- Assets in custody · $2.4M to $3.4MOct 6, 2025 to Feb 3, 2026
- Financial planning clients · 1-10 to 0Oct 6, 2025 to Feb 3, 2026
- State-registered IARs · 2 to 4Oct 6, 2025 to Feb 3, 2026
- Discretionary RAUM · $147M to $148MOct 6, 2025 to Feb 3, 2026
- HNW RAUM · $97.9M to $111MOct 6, 2025 to Feb 3, 2026
- Individual RAUM · $49.0M to $35.5MOct 6, 2025 to Feb 3, 2026
- RAUM · $147M to $148MOct 6, 2025 to Feb 3, 2026
- Assets in custody · unset to 2415907.0Jan 9, 2025 to Oct 6, 2025
- Custody of client assets · false to trueJan 9, 2025 to Oct 6, 2025
- Discretionary RAUM · $114M to $147MJan 9, 2025 to Oct 6, 2025
- HNW RAUM · $90.0M to $97.9MJan 9, 2025 to Oct 6, 2025
- Individual RAUM · $45.0M to $49.0MJan 9, 2025 to Oct 6, 2025
- Non-discretionary RAUM · $20.6M to $0Jan 9, 2025 to Oct 6, 2025
- RAUM · $135M to $147MJan 9, 2025 to Oct 6, 2025
- Related insurance company · true to falseJan 9, 2025 to Oct 6, 2025
- Accounts · 410 to 418May 13, 2024 to Jan 9, 2025
- HNW clients · 31 to 39May 13, 2024 to Jan 9, 2025
- Individual clients · 128 to 106May 13, 2024 to Jan 9, 2025
- Financial planning clients · 1-10 to 1-10May 13, 2024 to Jan 9, 2025
- Discretionary RAUM · $104M to $114MMay 13, 2024 to Jan 9, 2025
- HNW RAUM · $83.2M to $90.0MMay 13, 2024 to Jan 9, 2025
- Individual RAUM · $42.8M to $45.0MMay 13, 2024 to Jan 9, 2025
- Non-discretionary RAUM · $22.0M to $20.6MMay 13, 2024 to Jan 9, 2025
- RAUM · $126M to $135MMay 13, 2024 to Jan 9, 2025
- Employees · 7 to 6Mar 26, 2024 to May 13, 2024
- Discretionary RAUM · $95.4M to $104MMar 26, 2024 to May 13, 2024
- HNW RAUM · $77.7M to $83.2MMar 26, 2024 to May 13, 2024
- Individual RAUM · $40.0M to $42.8MMar 26, 2024 to May 13, 2024
- Non-discretionary RAUM · $22.3M to $22.0MMar 26, 2024 to May 13, 2024
- RAUM · $118M to $126MMar 26, 2024 to May 13, 2024
- Accounts · 417 to 410Mar 26, 2024 to Mar 26, 2024
- Discretionary RAUM · $97.6M to $95.4MMar 26, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $20.1M to $22.3MMar 26, 2024 to Mar 26, 2024
Signals
2 dated events
- M••• R•••••• M•••• left P••••• F•••••••• S•••••••• I••• for M•••• F•••••••• S•••••••• (registered 2026-03-23)Apr 17, 2026 · Advisor changed firm · fact
- P••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Dec 20, 2023 · 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
- kim.klein@pallerfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- noelle.hanneman@pallerfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-858-0045reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/paller-financial-services/posts/?feedVireportedpublic record, Form ADV, Sep 18, 2026
- Website
- pallerfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-858-0045reportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- pallerfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pallerfinancial.com/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $49.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026