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••••••• I••••••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Aug 7, 2019 · 23 filings
SEC status approved since Sep 6, 2019
RAUM
$298M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$297M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$37.2M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$298M as of Aug 26, 2026
Mar 6, 2020$107M then
HNW client RAUM$224M as of Aug 26, 2026
Mar 6, 2020$49.0M then
State-registered IARs (5.B.3)8 as of Aug 26, 2026
Mar 6, 20205 then
Employees (5.A)8 as of Aug 26, 2026
Mar 6, 20205 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 8 to 8offices 2 to 3
Practice profile
derived from the filing of Aug 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $870,114derivedHNW RAUM over HNW clients
- Average account
- $277,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $298MreportedItem 5.I
- Custody
- $225M, 743 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M75%
- Individuals$72.9M24%
- Corporations and businesses$655,8740.2%
- Charitable organizations$446,2000.1%
- Pension and profit-sharing plans$326,7900.1%
- Individual clients
- 330reported
- HNW clients
- 257reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,073reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $225M for 743 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=8.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• L••• S•••••••••Certified Financial Planner | Greenwood Village, Co | Jul 30, 2015 | 15 y | 1 |
| S••••• J•• E•••• | Greenwood Village, Co | Jul 30, 2015 | 20 y | 1 |
| D••••• E••••• M••••••• | Greenwood Village, Co | Jul 30, 2015 | 25 y | 2 |
| R••••• W• C•••••Certified Financial Planner | Greenwood Village, Co | Sep 6, 2016 | 51 y | 1 |
| B•••• R•••••• G•••• | Greenwood Village, Co | Jul 22, 2019 | 27 y | 0 |
| T••• M•••••• K•••••Certified Financial Planner, Chartered Financial Consultant | Greenwood Village, Co | May 27, 2020 | 18 y | 2 |
| S••••••• C•••••••• | Las Cruces, Nm | Aug 12, 2024 | 13 y | 0 |
| D•••• G••••••• A•••••• | Littleton, Co | Jan 2, 2025 | 11 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
- T••• M•••••• K••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 27, 2020 · Affiliated broker-dealer or bank to independent RIA
- R••••• W• C••••• from O•••• W•••••• I•••Sep 6, 2016 · Other
- S••••• J•• E•••• from J•••••• C•••••• M••••••••• L••Jul 30, 2015 · Other
- K•••••• L••• S••••••••• from J•••••• C•••••• M••••••••• L••Jul 30, 2015 · Other
- D••••• E••••• M••••••• from J•••••• C•••••• M••••••••• L••Jul 30, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from J•••••• C•••••• M••••••••• L••Aug 17, 2016 · Highland, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• S•••••• J•• · Chief Compliance Officercontrolsince 01/2015 · owns 5% to 10%
- M•••••••• D•••••• E••••• · Owner, Presidentcontrolsince 01/2015 · owns 75% or more
- S••••••••• K••••••• L••• · Investment Manager & Vice Presidentcontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 8 | 0 | 0 | ||
| Las Cruces, Nm | 2 | 0 | 0 | ||
| Littleton, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Littleton, CO2 employees
- Las Cruces, NM1 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 3Feb 17, 2026 to Jun 24, 2026
- Accounts · 1,024 to 1,073Mar 30, 2025 to Feb 17, 2026
- HNW clients · 242 to 257Mar 30, 2025 to Feb 17, 2026
- Individual clients · 329 to 330Mar 30, 2025 to Feb 17, 2026
- Assets in custody · $195M to $225MMar 30, 2025 to Feb 17, 2026
- Financial planning clients · 11-25 to 1-10Mar 30, 2025 to Feb 17, 2026
- Discretionary RAUM · $264M to $298MMar 30, 2025 to Feb 17, 2026
- HNW RAUM · $193M to $224MMar 30, 2025 to Feb 17, 2026
- Individual RAUM · $70.2M to $72.9MMar 30, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $53,804 to $210,313Mar 30, 2025 to Feb 17, 2026
- Pension RAUM · $84,689 to $326,790Mar 30, 2025 to Feb 17, 2026
- RAUM · $264M to $298MMar 30, 2025 to Feb 17, 2026
- Accounts · 954 to 1,024Aug 27, 2024 to Mar 30, 2025
- Advisory employees · 7 to 8Aug 27, 2024 to Mar 30, 2025
- BD registered reps · 7 to 8Aug 27, 2024 to Mar 30, 2025
- HNW clients · 229 to 242Aug 27, 2024 to Mar 30, 2025
- Individual clients · 331 to 329Aug 27, 2024 to Mar 30, 2025
- Assets in custody · $156M to $195MAug 27, 2024 to Mar 30, 2025
- Employees · 11 to 8Aug 27, 2024 to Mar 30, 2025
- Financial planning clients · 11-25 to 11-25Aug 27, 2024 to Mar 30, 2025
- State-registered IARs · 7 to 8Aug 27, 2024 to Mar 30, 2025
- Discretionary RAUM · $222M to $264MAug 27, 2024 to Mar 30, 2025
- HNW RAUM · $156M to $193MAug 27, 2024 to Mar 30, 2025
- Individual RAUM · $65.1M to $70.2MAug 27, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $0 to $53,804Aug 27, 2024 to Mar 30, 2025
- Pension RAUM · unset to 84689.0Aug 27, 2024 to Mar 30, 2025
- RAUM · $222M to $264MAug 27, 2024 to Mar 30, 2025
- HQ city · LITTLETON to GREENWOOD VILLAGEMar 13, 2024 to Jul 17, 2024
- Accounts · 547 to 954Feb 2, 2023 to Mar 13, 2024
- Advisory employees · 6 to 7Feb 2, 2023 to Mar 13, 2024
- BD registered reps · 6 to 7Feb 2, 2023 to Mar 13, 2024
- Corporate clients · 1.0 to unsetFeb 2, 2023 to Mar 13, 2024
- HNW clients · 163 to 229Feb 2, 2023 to Mar 13, 2024
- Individual clients · 247 to 331Feb 2, 2023 to Mar 13, 2024
- Assets in custody · $137M to $156MFeb 2, 2023 to Mar 13, 2024
- Employees · 6 to 11Feb 2, 2023 to Mar 13, 2024
- Financial planning clients · 1-10 to 11-25Feb 2, 2023 to Mar 13, 2024
- State-registered IARs · 6 to 7Feb 2, 2023 to Mar 13, 2024
- Discretionary RAUM · $204M to $222MFeb 2, 2023 to Mar 13, 2024
- HNW RAUM · $140M to $156MFeb 2, 2023 to Mar 13, 2024
Signals
1 dated events
- M••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 2019 · 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 email
- allyson@investwithmarshall.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-991-6415reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- INVESTWITHM•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-991-6415reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- investwithmarshall.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investwithmarshall.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $37.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026