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.
SEC-registered adviser
Fidelis Im
Legal name Fidelis Im, LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 2, 2020 · 10 filings
SEC status approved since Apr 7, 2020
RAUM
$306M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$221M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$306M
derived; firm RAUM over IAPD count
Employees
3
1 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$306M as of Mar 27, 2026
Mar 31, 2021$160M then
HNW client RAUM$161M as of Mar 27, 2026
Mar 31, 2021$43.9M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 31, 20212 then
Employees (5.A)3 as of Mar 27, 2026
Mar 31, 20213 then
Private funds: no history
RAUM +26% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $306MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 246derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $513,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $73.7M, 121 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M53%
- Pension and profit-sharing plans$85.3M28%
- Individuals$60.0M20%
- Individual clients
- 183reported
- HNW clients
- 63reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 596reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.7M for 121 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.28 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 |
|---|---|---|---|---|
| Keegan Jay DennCertified Financial Planner | Medford, Or | Dec 5, 2024 | 20 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
- Keegan Jay Denn from Cutler Investment GroupDec 5, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jay Keegan Denn · Presidentcontrolsince 03/2012 · owns 50% to 75%
- Le Ann Tracy Richards · Ccocontrolsince 03/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
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 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-03, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 510 to 596Apr 3, 2025 to Mar 27, 2026
- HNW clients · 40 to 63Apr 3, 2025 to Mar 27, 2026
- Individual clients · 168 to 183Apr 3, 2025 to Mar 27, 2026
- Pension plan clients · 28 to 29Apr 3, 2025 to Mar 27, 2026
- Assets in custody · unset to 73675414.0Apr 3, 2025 to Mar 27, 2026
- Custody of client assets · false to trueApr 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $244M to $306MApr 3, 2025 to Mar 27, 2026
- HNW RAUM · $104M to $161MApr 3, 2025 to Mar 27, 2026
- Individual RAUM · $50.0M to $60.0MApr 3, 2025 to Mar 27, 2026
- Pension RAUM · $89.5M to $85.3MApr 3, 2025 to Mar 27, 2026
- RAUM · $244M to $306MApr 3, 2025 to Mar 27, 2026
- Accounts · 564 to 510Nov 13, 2024 to Apr 3, 2025
- Advisory activities · 4 to 3Nov 13, 2024 to Apr 3, 2025
- HNW clients · 38 to 40Nov 13, 2024 to Apr 3, 2025
- Individual clients · 169 to 168Nov 13, 2024 to Apr 3, 2025
- Pension plan clients · 25 to 28Nov 13, 2024 to Apr 3, 2025
- Financial planning clients · 101-250 to 101-250Nov 13, 2024 to Apr 3, 2025
- Discretionary RAUM · $269M to $244MNov 13, 2024 to Apr 3, 2025
- HNW RAUM · $117M to $104MNov 13, 2024 to Apr 3, 2025
- Individual RAUM · $50.8M to $50.0MNov 13, 2024 to Apr 3, 2025
- Pension RAUM · $102M to $89.5MNov 13, 2024 to Apr 3, 2025
- RAUM · $269M to $244MNov 13, 2024 to Apr 3, 2025
- Accounts · 463 to 564Mar 26, 2024 to Nov 13, 2024
- Advisory employees · 2 to 1Mar 26, 2024 to Nov 13, 2024
- HNW clients · 32 to 38Mar 26, 2024 to Nov 13, 2024
- Individual clients · 156 to 169Mar 26, 2024 to Nov 13, 2024
- Pension plan clients · 23 to 25Mar 26, 2024 to Nov 13, 2024
- State-registered IARs · 2 to 1Mar 26, 2024 to Nov 13, 2024
- Discretionary RAUM · $219M to $269MMar 26, 2024 to Nov 13, 2024
- HNW RAUM · $84.1M to $117MMar 26, 2024 to Nov 13, 2024
- Individual RAUM · $43.7M to $50.8MMar 26, 2024 to Nov 13, 2024
- Pension RAUM · $91.3M to $102MMar 26, 2024 to Nov 13, 2024
- RAUM · $219M to $269MMar 26, 2024 to Nov 13, 2024
- Accounts · 458 to 463Mar 6, 2023 to Mar 26, 2024
- HNW clients · 23 to 32Mar 6, 2023 to Mar 26, 2024
- Individual clients · 149 to 156Mar 6, 2023 to Mar 26, 2024
- Pension plan clients · 28 to 23Mar 6, 2023 to Mar 26, 2024
- Financial planning clients · 251-500 to 101-250Mar 6, 2023 to Mar 26, 2024
- Discretionary RAUM · $183M to $219MMar 6, 2023 to Mar 26, 2024
- HNW RAUM · $61.6M to $84.1MMar 6, 2023 to Mar 26, 2024
Signals
1 dated events
- Fidelis Im filed its initial SEC registration (Form ADV)Mar 2, 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
- 541-770-1311reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FIDELISIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541-770-1311reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- fidelisim.com/contactreportedpublished 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
- $306Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026