DFX Intelligence
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R•• M••••••• F•••••••• P•••••••
Independent wealth manager, based in Durango, Colorado, reporting $226M of regulatory assets across 3 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
- $226M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +15%
- Private clients
- 93% of RAUM, $210M
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
- Contact points 6
Every filed figure, and the identifiersCRD 174672 · SEC 801-123154 · 8 filingsShowHide
CRD 174672SEC 801-123154Legal name R•• M••••••• F•••••••• P•••••••• L••First filing on the tape Jan 4, 2022, latest Mar 9, 2026SEC status approved since Feb 9, 2022IAPD
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$210M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$226M as of Mar 9, 2026
Mar 9, 2023$121M then
HNW client RAUM$148M as of Mar 9, 2026
Mar 9, 2023$56.1M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Mar 9, 20232 then
Employees (5.A)3 as of Mar 9, 2026
Mar 9, 20233 then
Private funds: no history
RAUM +15% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 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
- $75.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $353,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
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$148M65%
- Individuals$62.2M28%
- Corporations and businesses$13.4M5.9%
- Pension and profit-sharing plans$2.3M1.0%
- Individual clients
- 242reported
- HNW clients
- 64reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 639reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E••••• W••••• | Durango, Co | Mar 13, 2015 | 33 y | 0 |
| C••• A••• F•••• | Durango, Co | Mar 7, 2019 | 19 y | 0 |
| D•••• L•• R•••Certified Financial Planner | Durango, Co | Sep 28, 2021 | 27 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
- D•••• L•• R••• from S••••••••• A•••••• A•••••••• I•••Sep 28, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• M••••••• E••••• · Presidentcontrolsince 01/2015 · owns 75% or more
- F••••• C•••• A••• · Chief Compliance Officersince 02/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Durango, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 760 to 639Feb 26, 2025 to Mar 9, 2026
- Corporate clients · 5 to 7Feb 26, 2025 to Mar 9, 2026
- HNW clients · 49 to 64Feb 26, 2025 to Mar 9, 2026
- Individual clients · 254 to 242Feb 26, 2025 to Mar 9, 2026
- Discretionary RAUM · $197M to $226MFeb 26, 2025 to Mar 9, 2026
- HNW RAUM · $117M to $148MFeb 26, 2025 to Mar 9, 2026
- Individual RAUM · $65.2M to $62.2MFeb 26, 2025 to Mar 9, 2026
- Pension RAUM · $2.6M to $2.3MFeb 26, 2025 to Mar 9, 2026
- RAUM · $197M to $226MFeb 26, 2025 to Mar 9, 2026
- Accounts · 651 to 760Nov 21, 2024 to Feb 26, 2025
- HNW clients · 56 to 49Nov 21, 2024 to Feb 26, 2025
- Individual clients · 320 to 254Nov 21, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 101-250Nov 21, 2024 to Feb 26, 2025
- Discretionary RAUM · $169M to $197MNov 21, 2024 to Feb 26, 2025
- HNW RAUM · $92.4M to $117MNov 21, 2024 to Feb 26, 2025
- Individual RAUM · $60.4M to $65.2MNov 21, 2024 to Feb 26, 2025
- Pension RAUM · $2.7M to $2.6MNov 21, 2024 to Feb 26, 2025
- RAUM · $169M to $197MNov 21, 2024 to Feb 26, 2025
- Accounts · 512 to 651Oct 12, 2023 to Mar 14, 2024
- HNW clients · 33 to 56Oct 12, 2023 to Mar 14, 2024
- Individual clients · 242 to 320Oct 12, 2023 to Mar 14, 2024
- Discretionary RAUM · $121M to $169MOct 12, 2023 to Mar 14, 2024
- HNW RAUM · $56.1M to $92.4MOct 12, 2023 to Mar 14, 2024
- Individual RAUM · $54.4M to $60.4MOct 12, 2023 to Mar 14, 2024
- Pension RAUM · $2.6M to $2.7MOct 12, 2023 to Mar 14, 2024
- RAUM · $121M to $169MOct 12, 2023 to Mar 14, 2024
- Advisory employees · 2 to 3Mar 9, 2023 to Oct 12, 2023
- BD registered reps · 2 to 3Mar 9, 2023 to Oct 12, 2023
- Insurance-licensed employees · 2 to 0Mar 9, 2023 to Oct 12, 2023
- State-registered IARs · 2 to 3Mar 9, 2023 to Oct 12, 2023
- Accounts · 461 to 512Feb 16, 2022 to Mar 9, 2023
- Corporate clients · 6 to 5Feb 16, 2022 to Mar 9, 2023
- HNW clients · 212 to 33Feb 16, 2022 to Mar 9, 2023
- Individual clients · 33 to 242Feb 16, 2022 to Mar 9, 2023
- Pension plan clients · 5 to 1Feb 16, 2022 to Mar 9, 2023
- Financial planning clients · 26-50 to 101-250Feb 16, 2022 to Mar 9, 2023
- Discretionary RAUM · $129M to $121MFeb 16, 2022 to Mar 9, 2023
- HNW RAUM · $59.6M to $56.1MFeb 16, 2022 to Mar 9, 2023
- Individual RAUM · $50.6M to $54.4MFeb 16, 2022 to Mar 9, 2023
- Pension RAUM · $8.9M to $2.6MFeb 16, 2022 to Mar 9, 2023
Signals
1 dated events
- ••• LockedJan 4, 2022 · 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 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
- Team page
- ••• Lockedreportedpublished 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
- $75.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026