DFX Intelligence
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J•• S••••••• • A••••••••• L••
Independent wealth manager, based in Fort Collins, Colorado, reporting $286M of regulatory assets across 5 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $286M
- Advisors
- 5
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- +59%
- Private clients
- 100% of RAUM, $286M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $180MRAUM now $286M
- RAUM (Item 5.F) 286384613Peer median 0.152187099898764
- Contact points 4
Every filed figure, and the identifiersCRD 169889 · SEC 801-128717 · 8 filingsShowHide
CRD 169889SEC 801-128717First filing on the tape Aug 11, 2023, latest Jul 14, 2026SEC status approved since Sep 11, 2023IAPD
RAUM
$286M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$286M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$57.3M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$286M as of Jul 14, 2026
Feb 22, 2024$116M then
HNW client RAUM$215M as of Jul 14, 2026
Feb 22, 2024$84.1M then
State-registered IARs (5.B.3)5 as of Jul 14, 2026
Feb 22, 20245 then
Employees (5.A)7 as of Jul 14, 2026
Feb 22, 20245 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Jul 14, 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
- RAUM per advisor
- $57.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $456,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.2M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$215M75%
- Individuals$70.9M25%
- Charitable organizations$226,3920.1%
- Individual clients
- 98reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 627reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 6 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• H•••• S•••••••Certified Financial Planner | Fort Collins, Co | Jan 23, 2015 | 26 y | 2 |
| C••••••••• W•••••• S••••Certified Financial Planner | Fort Collins, Co | Nov 13, 2018 | 18 y | 0 |
| J•••• D•••• V•••••Certified Financial Planner | Coralville, Ia | Jul 16, 2026 | 15 y | 0 |
| T••••• G•••••• D•••••Certified Financial Planner | Port Saint Lucie , Fl | Jul 20, 2026 | 10 y | 1 |
| J•••• T••••• | Bloomfield , Nj | Sep 8, 2026 | 18 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• G•••••• D••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 20, 2026 · Wirehouse to independent RIA
- J•••• H•••• S••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 23, 2015 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• J••••• H•••• · Managing Member And Chief Compliance Officercontrolsince 11/2013 · owns 75% or more
Related persons
Schedule D 7.A
- J•• S••••••• T•• P•••••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Collins, 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
- RAUM up clients flatCombination · filing Mar 24, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $180,005,463 to $286,384,613, advisors 3 to 5, private clients 180 to 184, offices 0 to 0 (2025-03-28 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,679)
- RAUM up 50 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $180,005,463 to $286,384,613 (+59.0%) between the annual amendments of 2025-03-28 and 2026-03-24; the peer median change was +15.0% (4548 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 517 to 627Aug 7, 2025 to Mar 24, 2026
- Charity clients · 2.0 to unsetAug 7, 2025 to Mar 24, 2026
- HNW clients · 58 to 86Aug 7, 2025 to Mar 24, 2026
- Individual clients · 122 to 98Aug 7, 2025 to Mar 24, 2026
- Assets in custody · $5.7M to $1.2MAug 7, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 5Aug 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $180M to $286MAug 7, 2025 to Mar 24, 2026
- HNW RAUM · $140M to $215MAug 7, 2025 to Mar 24, 2026
- Individual RAUM · $38.0M to $70.9MAug 7, 2025 to Mar 24, 2026
- RAUM · $180M to $286MAug 7, 2025 to Mar 24, 2026
- Accounts · 443 to 517Mar 7, 2024 to Mar 28, 2025
- Advisory employees · 5 to 3Mar 7, 2024 to Mar 28, 2025
- HNW clients · 43 to 58Mar 7, 2024 to Mar 28, 2025
- Individual clients · 111 to 122Mar 7, 2024 to Mar 28, 2025
- Assets in custody · unset to 5724800.0Mar 7, 2024 to Mar 28, 2025
- Custody of client assets · false to trueMar 7, 2024 to Mar 28, 2025
- Employees · 5 to 7Mar 7, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 7, 2024 to Mar 28, 2025
- State-registered IARs · 5 to 3Mar 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $116M to $180MMar 7, 2024 to Mar 28, 2025
- HNW RAUM · $84.1M to $140MMar 7, 2024 to Mar 28, 2025
- Individual RAUM · $32.3M to $38.0MMar 7, 2024 to Mar 28, 2025
- RAUM · $116M to $180MMar 7, 2024 to Mar 28, 2025
- Accounts · 451 to 443Aug 11, 2023 to Feb 22, 2024
- Advisory employees · 4 to 5Aug 11, 2023 to Feb 22, 2024
- HNW clients · 48 to 43Aug 11, 2023 to Feb 22, 2024
- Individual clients · 106 to 111Aug 11, 2023 to Feb 22, 2024
- Employees · 6 to 5Aug 11, 2023 to Feb 22, 2024
- Financial planning clients · 101-250 to 51-100Aug 11, 2023 to Feb 22, 2024
- State-registered IARs · 4 to 5Aug 11, 2023 to Feb 22, 2024
- Other offices · 1 to 0Aug 11, 2023 to Feb 22, 2024
- Discretionary RAUM · $106M to $116MAug 11, 2023 to Feb 22, 2024
- HNW RAUM · $79.8M to $84.1MAug 11, 2023 to Feb 22, 2024
- Individual RAUM · $25.8M to $32.3MAug 11, 2023 to Feb 22, 2024
- RAUM · $106M to $116MAug 11, 2023 to Feb 22, 2024
Signals
2 dated events
- ••• LockedMar 24, 2026 · RAUM change · derived
- ••• LockedAug 11, 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 14, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 14, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $57.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026