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
I••••• F•••• P•••••••• M•••••••••
Legal name I••••• F•••• P•••••••• M••••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Jul 5, 2017 · 19 filings
SEC status approved since Oct 9, 2012
RAUM
$362M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$356M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$121M
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
19 filings and snapshots on the tape
RAUM$362M as of Feb 12, 2026
Feb 13, 2018$127M then
HNW client RAUM$257M as of Feb 12, 2026
Feb 13, 2018$98.9M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Feb 13, 20183 then
Employees (5.A)3 as of Feb 12, 2026
Feb 13, 20183 then
Private funds: no history
RAUM +8.5% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 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
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $603,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%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
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M71%
- Individuals$99.8M28%
- Charitable organizations$3.4M0.9%
- Corporations and businesses$2.6M0.7%
- Individual clients
- 213reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 601reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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•••••••• W••••• M••••• | Jackson, Wy | Jul 5, 2017 | 32 y | 0 |
| D•••• N• E•••Certified Financial Planner, Chartered Financial Analyst | Jackson, Wy | Jul 5, 2017 | 28 y | 2 |
| A••• B• G•••••• | Jackson, Wy | Feb 10, 2020 | 13 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
- D••• W••••• B••••• to A••••• B•• C••••••Jan 25, 2017 · Other
Joined, latest
- D•••• N• E••• from W••••••• I••••••••• M••••••••• I••Jul 5, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• D••••• N• · Chief Compliance Officer / Managing Membercontrolsince 09/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Jackson, Wy · 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
- account count surgeChange between filings · filing Feb 12, 2026accounts (Item 5.F.2.f) moved from 272.0 to 601.0 (+121.0%) between the annual amendments of 2025-01-29 and 2026-02-12; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 272 to 601Jan 29, 2025 to Feb 12, 2026
- Charity clients · 4 to 3Jan 29, 2025 to Feb 12, 2026
- HNW clients · 79 to 83Jan 29, 2025 to Feb 12, 2026
- Individual clients · 182 to 213Jan 29, 2025 to Feb 12, 2026
- Discretionary RAUM · $334M to $362MJan 29, 2025 to Feb 12, 2026
- HNW RAUM · $246M to $257MJan 29, 2025 to Feb 12, 2026
- Individual RAUM · $79.0M to $99.8MJan 29, 2025 to Feb 12, 2026
- RAUM · $334M to $362MJan 29, 2025 to Feb 12, 2026
- Accounts · 555 to 272Apr 10, 2024 to Jan 29, 2025
- Charity clients · 10 to 4Apr 10, 2024 to Jan 29, 2025
- Corporate clients · unset to 7.0Apr 10, 2024 to Jan 29, 2025
- HNW clients · 77 to 79Apr 10, 2024 to Jan 29, 2025
- Individual clients · 194 to 182Apr 10, 2024 to Jan 29, 2025
- Financial planning clients · unset to Apr 10, 2024 to Jan 29, 2025
- Discretionary RAUM · $294M to $334MApr 10, 2024 to Jan 29, 2025
- HNW RAUM · $198M to $246MApr 10, 2024 to Jan 29, 2025
- Individual RAUM · $87.8M to $79.0MApr 10, 2024 to Jan 29, 2025
- RAUM · $294M to $334MApr 10, 2024 to Jan 29, 2025
- Accounts · 508 to 555Feb 8, 2023 to Jan 22, 2024
- Charity clients · 5 to 10Feb 8, 2023 to Jan 22, 2024
- HNW clients · 69 to 77Feb 8, 2023 to Jan 22, 2024
- Individual clients · 185 to 194Feb 8, 2023 to Jan 22, 2024
- Discretionary RAUM · $245M to $294MFeb 8, 2023 to Jan 22, 2024
- HNW RAUM · $172M to $198MFeb 8, 2023 to Jan 22, 2024
- Individual RAUM · $64.8M to $87.8MFeb 8, 2023 to Jan 22, 2024
- RAUM · $245M to $294MFeb 8, 2023 to Jan 22, 2024
- Accounts · 457 to 508Jul 12, 2022 to Feb 8, 2023
- Advisory activities · 3 to 2Jul 12, 2022 to Feb 8, 2023
- Charity clients · 8 to 5Jul 12, 2022 to Feb 8, 2023
- HNW clients · 55 to 69Jul 12, 2022 to Feb 8, 2023
- Individual clients · 153 to 185Jul 12, 2022 to Feb 8, 2023
- Discretionary RAUM · $225M to $245MJul 12, 2022 to Feb 8, 2023
- HNW RAUM · $155M to $172MJul 12, 2022 to Feb 8, 2023
- Individual RAUM · $65.3M to $64.8MJul 12, 2022 to Feb 8, 2023
- RAUM · $225M to $245MJul 12, 2022 to Feb 8, 2023
- Accounts · 193 to 457Feb 4, 2021 to Feb 24, 2022
- HNW clients · 53 to 55Feb 4, 2021 to Feb 24, 2022
- Individual clients · 132 to 153Feb 4, 2021 to Feb 24, 2022
- Discretionary RAUM · $184M to $225MFeb 4, 2021 to Feb 24, 2022
- HNW RAUM · $141M to $155MFeb 4, 2021 to Feb 24, 2022
Signals
No event on the tape.
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
- 307-413-4104reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 307-733-5100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-784-3096reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- I•••••F••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 307-733-5100reportedpublic record, Form ADV, Feb 12, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026