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
F••••• F•••••••• S•••••••• G••••• L••
Latest filing Mar 10, 2026
First filing on the tape Aug 13, 2014 · 15 filings
SEC status approved since Aug 27, 2014
RAUM
$501M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
72%
$362M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$501M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$501M as of Mar 10, 2026
Feb 11, 2015$187M then
HNW client RAUM$362M as of Mar 10, 2026
Mar 1, 2018$155M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Feb 11, 20151 then
Employees (5.A)1 as of Mar 10, 2026
Feb 11, 20151 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $501MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.6MderivedHNW RAUM over HNW clients
- Average account
- $25.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$362M72%
- Corporations and businesses$138M28%
- Individual clients
- n/areported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M•••••• E•••• T••••Certified Financial Planner | Durango, Co | Oct 23, 2025 | 19 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••• E•••• T•••• from T•••••• E••••••••• • P••••••••• I•••Oct 23, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• M••••••• E•••• · Managing Member And Ccocontrolsince 09/2006 · owns 75% or more
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
- low discretionary shareStatic outlier · filing Mar 10, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 21 to 20Mar 19, 2025 to Mar 10, 2026
- HNW RAUM · $314M to $362MMar 19, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $435M to $501MMar 19, 2025 to Mar 10, 2026
- RAUM · $435M to $501MMar 19, 2025 to Mar 10, 2026
- HNW clients · 13 to 16Mar 11, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 11, 2024 to Mar 19, 2025
- HNW RAUM · $268M to $314MMar 11, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $351M to $435MMar 11, 2024 to Mar 19, 2025
- RAUM · $351M to $435MMar 11, 2024 to Mar 19, 2025
- Accounts · 27 to 21Mar 20, 2023 to Mar 11, 2024
- HNW clients · 16 to 13Mar 20, 2023 to Mar 11, 2024
- HNW RAUM · $235M to $268MMar 20, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $310M to $351MMar 20, 2023 to Mar 11, 2024
- RAUM · $310M to $351MMar 20, 2023 to Mar 11, 2024
- Accounts · 29 to 27Mar 2, 2022 to Mar 20, 2023
- HNW clients · 18 to 16Mar 2, 2022 to Mar 20, 2023
- HNW RAUM · $279M to $235MMar 2, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $367M to $310MMar 2, 2022 to Mar 20, 2023
- RAUM · $367M to $310MMar 2, 2022 to Mar 20, 2023
- Accounts · 27 to 29Mar 10, 2021 to Mar 2, 2022
- HNW clients · 16 to 18Mar 10, 2021 to Mar 2, 2022
- Financial planning clients · unset to 0Mar 10, 2021 to Mar 2, 2022
- HNW RAUM · $256M to $279MMar 10, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $336M to $367MMar 10, 2021 to Mar 2, 2022
- RAUM · $336M to $367MMar 10, 2021 to Mar 2, 2022
- HNW RAUM · $231M to $256MMar 9, 2020 to Mar 10, 2021
- Non-discretionary RAUM · $302M to $336MMar 9, 2020 to Mar 10, 2021
- RAUM · $302M to $336MMar 9, 2020 to Mar 10, 2021
- HNW RAUM · $201M to $231MMar 13, 2019 to Mar 9, 2020
- Non-discretionary RAUM · $262M to $302MMar 13, 2019 to Mar 9, 2020
- RAUM · $262M to $302MMar 13, 2019 to Mar 9, 2020
- Related insurance company · false to trueMar 13, 2019 to Mar 9, 2020
- HNW RAUM · $155M to $201MMar 1, 2018 to Mar 13, 2019
- Non-discretionary RAUM · $220M to $262MMar 1, 2018 to Mar 13, 2019
- RAUM · $220M to $262MMar 1, 2018 to Mar 13, 2019
- Accounts · 28 to 27Feb 17, 2017 to Mar 1, 2018
- Corporate clients · unset to 4.0Feb 17, 2017 to Mar 1, 2018
- HNW clients · unset to 16.0Feb 17, 2017 to Mar 1, 2018
- Other offices · unset to 0.0Feb 17, 2017 to Mar 1, 2018
- HNW RAUM · unset to 154610170.0Feb 17, 2017 to Mar 1, 2018
Signals
1 dated events
- F••••• F•••••••• S•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 13, 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
- Principal office phone
- 970-259-1040reportedpublic record, Form ADV, Mar 10, 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
- $501Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026