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
M••••• W••••• A•••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Apr 29, 2014 · 26 filings
SEC status approved since Jul 9, 2021
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$226M as of Aug 27, 2026
Mar 9, 2022$178M then
HNW client RAUM$208M as of Aug 27, 2026
Mar 9, 2022$168M then
State-registered IARs (5.B.3)3 as of Aug 27, 2026
Mar 9, 20222 then
Employees (5.A)3 as of Aug 27, 2026
Mar 9, 20222 then
Private funds: no history
RAUM +24% over the last fiscal year+17% a year over threeIARs 2 to 3offices 1 to 2
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
- RAUM per advisor
- $75.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $675,201derivedRAUM 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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $202M, 102 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$208M92%
- Individuals$17.5M7.8%
- Individual clients
- 45reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 334reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $202M for 102 clientsreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••• E••• M••••• | Ridgway, Co | May 14, 2014 | 43 y | 3 |
| D•• E••••• G•••••• | Fayetteville, Ar | Mar 14, 2017 | 36 y | 1 |
| R••• S•••••••• O••••••••• | Ridgway, Co | Sep 3, 2026 | 10 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
- D•• E••••• G•••••• from S•••••• M••••• L••Mar 14, 2017 · Other
- B••• E••• M••••• from S•••••• M••••• L••May 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B•••• E••• · Managing Member And Chief Compliance Officercontrolsince 04/2014 · 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 |
|---|---|---|---|---|---|
| Ridgway, Co | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Aug 27, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-06-18, yes on the filing of 2026-08-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Jun 18, 2026 to Aug 27, 2026
- Employees · 2 to 3Jun 18, 2026 to Aug 27, 2026
- State-registered IARs · 2 to 3Jun 18, 2026 to Aug 27, 2026
- Other offices · 1 to 2Jun 18, 2026 to Aug 27, 2026
- Related insurance company · false to trueJun 18, 2026 to Aug 27, 2026
- Accounts · 293 to 334Mar 14, 2025 to Mar 24, 2026
- HNW clients · 63 to 71Mar 14, 2025 to Mar 24, 2026
- Individual clients · 38 to 45Mar 14, 2025 to Mar 24, 2026
- Assets in custody · $195M to $202MMar 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $182M to $226MMar 14, 2025 to Mar 24, 2026
- HNW RAUM · $171M to $208MMar 14, 2025 to Mar 24, 2026
- Individual RAUM · $11.4M to $17.5MMar 14, 2025 to Mar 24, 2026
- RAUM · $182M to $226MMar 14, 2025 to Mar 24, 2026
- Accounts · 282 to 293Nov 11, 2024 to Mar 14, 2025
- HNW clients · 67 to 63Nov 11, 2024 to Mar 14, 2025
- Individual clients · 30 to 38Nov 11, 2024 to Mar 14, 2025
- Assets in custody · $164M to $195MNov 11, 2024 to Mar 14, 2025
- Financial planning clients · unset to Nov 11, 2024 to Mar 14, 2025
- HQ city · unset to Nov 11, 2024 to Mar 14, 2025
- HQ state · unset to Nov 11, 2024 to Mar 14, 2025
- Discretionary RAUM · $147M to $182MNov 11, 2024 to Mar 14, 2025
- HNW RAUM · $141M to $171MNov 11, 2024 to Mar 14, 2025
- Individual RAUM · $5.7M to $11.4MNov 11, 2024 to Mar 14, 2025
- RAUM · $147M to $182MNov 11, 2024 to Mar 14, 2025
- Accounts · 351 to 282Mar 19, 2024 to Mar 29, 2024
- Discretionary RAUM · $178M to $147MMar 19, 2024 to Mar 29, 2024
- HNW RAUM · $172M to $141MMar 19, 2024 to Mar 29, 2024
- Individual RAUM · $6.1M to $5.7MMar 19, 2024 to Mar 29, 2024
- RAUM · $178M to $147MMar 19, 2024 to Mar 29, 2024
- Accounts · 262 to 351Mar 28, 2023 to Mar 19, 2024
- HNW clients · 62 to 67Mar 28, 2023 to Mar 19, 2024
- Individual clients · 32 to 30Mar 28, 2023 to Mar 19, 2024
- Assets in custody · unset to 163724236.0Mar 28, 2023 to Mar 19, 2024
- Custody of client assets · false to trueMar 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $106M to $178MMar 28, 2023 to Mar 19, 2024
- HNW RAUM · $99.8M to $172MMar 28, 2023 to Mar 19, 2024
- Individual RAUM · $6.0M to $6.1MMar 28, 2023 to Mar 19, 2024
- RAUM · $106M to $178MMar 28, 2023 to Mar 19, 2024
- Accounts · 252 to 262Mar 16, 2023 to Mar 17, 2023
- Discretionary RAUM · $140M to $106MMar 16, 2023 to Mar 17, 2023
Signals
1 dated events
- M••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 2014 · 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
- 713-252-1661reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (713) 252-1661reportedpublic record, Form ADV, Aug 27, 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
- $75.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026