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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Former SEC-registered adviser
I••• C••••••
Legal name I••••••••• A•• F••••• A•••• M••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Feb 26, 2015 · 31 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
41%
$693M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.7B as of Mar 28, 2024
Mar 24, 2016$1.0B then
HNW client RAUM$501M as of Mar 28, 2024
Mar 30, 2018$479M then
State-registered IARs (5.B.3)6 as of Mar 28, 2024
Mar 24, 201615 then
Employees (5.A)13 as of Mar 28, 2024
Mar 24, 201625 then
Private funds: no history
RAUM +16% over the last fiscal year+8.3% a year over threeIARs 6 to 6offices 2 to 3
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $284MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.2B, 758 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$501M29%
- State and municipal entities$472M28%
- Pension and profit-sharing plans$460M27%
- Individuals$193M11%
- Corporations and businesses$67.5M4.0%
- Insurance companies$8.2M0.5%
- Charitable organizations$3.8M0.2%
- Individual clients
- 554reported
- HNW clients
- 174reported
- Pension plan clients
- 63reported
- Charitable clients
- 2reported
- Accounts
- 821reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 758 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- B•••• W••••• S•••••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- B•••• P•••••• S••••••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- C•••• J••• F•••••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- W•••• C••• J••••••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- A••• D•••• B•••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- E•••• L••• Y•••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- J•••••• J••• G••••• to N••••••••• A•••• M••••••••• L••Jul 3, 2024 · RIA to RIA
- S••••••• K••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 12, 2022 · RIA to affiliated broker-dealer or bank
- D••••• T••••• G•••••• to T•••••••• I••••••••• M••••••••• I••Jan 30, 2020 · Other
- J••• G••••• L•••• to C•••••• W•••••• L••Dec 11, 2017 · Other
Joined, latest
- C•••• J••• F•••••• from W••••••• W••••• M••••••••• L••Dec 20, 2022 · Other
- E•••• L••• Y•••• from U•• F•••••••• S••••••• I•••Dec 2, 2015 · Other
- S••••••• K••••• from U•• F•••••••• S••••••• I•••Dec 1, 2015 · Other
- J••• G••••• L•••• from N•••••••• W••••• M••••••••• L••Jul 7, 2015 · Other
- A••• D•••• B•••• from I•• C•••••• A•••••••• L••Apr 15, 2015 · Other
- J•••••• J••• G••••• from I•• C•••••• A•••••••• L••Apr 10, 2015 · Other
- B•••• W••••• S•••••• from I•• C•••••• A•••••••• L••Apr 9, 2015 · Other
- B•••• P•••••• S••••••• from I•• C•••••• A•••••••• L••Apr 9, 2015 · Other
- D••••• T••••• G•••••• from I•• C•••••• A•••••••• L••Apr 9, 2015 · Other
- W•••• C••• J••••••• from I•• C•••••• A•••••••• L••Apr 9, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for N••••••••• A•••• M••••••••• L••Jul 3, 2024 · Fort Collins, Co · Firm absorbed
- 6 joined from I•• C•••••• A•••••••• L••Mar 24, 2015 · Greenwood Village, Co · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••••• J••• · Ceo/Ciocontrolsince 09/2022 · owns less than 5%
- J••••••• K•••••••• A• · Chief Compliance Officersince 09/2018 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C•••••• D•••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
- N••••••••• A•••• M••••••••• L••investment advisernRAUM $5.0B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co | 0 | 0 | 0 | ||
| Fort Collins, Co · principal | 0 | 0 | 0 | ||
| Sioux Falls, Sd | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sioux Falls, SD2 employees
- , 1 employees
- Denver, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 2,586 to 821Mar 1, 2024 to Mar 28, 2024
- BD registered reps · 3 to 2Mar 1, 2024 to Mar 28, 2024
- Corporate clients · 21 to 23Mar 1, 2024 to Mar 28, 2024
- HNW clients · 157 to 174Mar 1, 2024 to Mar 28, 2024
- Individual clients · 565 to 554Mar 1, 2024 to Mar 28, 2024
- Pension plan clients · 43 to 63Mar 1, 2024 to Mar 28, 2024
- Assets in custody · $1.2B to $1.2BMar 1, 2024 to Mar 28, 2024
- Other offices · 2 to 3Mar 1, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $1.7BMar 1, 2024 to Mar 28, 2024
- HNW RAUM · $491M to $501MMar 1, 2024 to Mar 28, 2024
- Individual RAUM · $165M to $193MMar 1, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $9.2M to $33.3MMar 1, 2024 to Mar 28, 2024
- Pension RAUM · $388M to $460MMar 1, 2024 to Mar 28, 2024
- RAUM · $1.5B to $1.7BMar 1, 2024 to Mar 28, 2024
- Accounts · 763 to 2,586Oct 7, 2022 to Mar 28, 2023
- Advisory employees · 5 to 6Oct 7, 2022 to Mar 28, 2023
- BD registered reps · 2 to 3Oct 7, 2022 to Mar 28, 2023
- Charity clients · 3 to 2Oct 7, 2022 to Mar 28, 2023
- Corporate clients · 26 to 21Oct 7, 2022 to Mar 28, 2023
- HNW clients · 179 to 157Oct 7, 2022 to Mar 28, 2023
- Individual clients · 549 to 565Oct 7, 2022 to Mar 28, 2023
- Pension plan clients · 44 to 43Oct 7, 2022 to Mar 28, 2023
- Assets in custody · $1.2B to $1.2BOct 7, 2022 to Mar 28, 2023
- Employees · 14 to 13Oct 7, 2022 to Mar 28, 2023
- State-registered IARs · 5 to 6Oct 7, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.6B to $1.5BOct 7, 2022 to Mar 28, 2023
- HNW RAUM · $539M to $491MOct 7, 2022 to Mar 28, 2023
- Individual RAUM · $163M to $165MOct 7, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $33.5M to $9.2MOct 7, 2022 to Mar 28, 2023
- Pension RAUM · $425M to $388MOct 7, 2022 to Mar 28, 2023
- RAUM · $1.6B to $1.5BOct 7, 2022 to Mar 28, 2023
- Accounts · 2,623 to 763Mar 29, 2021 to Mar 29, 2022
- Advisory employees · 6 to 5Mar 29, 2021 to Mar 29, 2022
- Charity clients · 4 to 3Mar 29, 2021 to Mar 29, 2022
- Corporate clients · 22 to 26Mar 29, 2021 to Mar 29, 2022
- HNW clients · 166 to 179Mar 29, 2021 to Mar 29, 2022
- Individual clients · 586 to 549Mar 29, 2021 to Mar 29, 2022
- Pension plan clients · 39 to 44Mar 29, 2021 to Mar 29, 2022
- Assets in custody · $1.1B to $1.2BMar 29, 2021 to Mar 29, 2022
- Employees · 13 to 14Mar 29, 2021 to Mar 29, 2022
Signals
15 dated events
- A••• D•••• B•••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-01)Jul 3, 2024 · Advisor changed firm · fact
- C•••• J••• F•••••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-09)Jul 3, 2024 · Advisor changed firm · fact
- B•••• P•••••• S••••••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-01)Jul 3, 2024 · Advisor changed firm · fact
- W•••• C••• J••••••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-01)Jul 3, 2024 · Advisor changed firm · fact
- B•••• W••••• S•••••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-09-05)Jul 3, 2024 · Advisor changed firm · fact
- J•••••• J••• G••••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-09)Jul 3, 2024 · Advisor changed firm · fact
- E•••• L••• Y•••• left I••• C•••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-09)Jul 3, 2024 · Advisor changed firm · fact
- I••• C••••••'s advisors moved to N••••••••• A•••• M••••••••• L•• (Fort Collins, CO): 6 of 7 registered, on the same dayJul 3, 2024 · Firm absorbed (people side) · derived
- Patrick Brian Sullivan (Chief Executive Officer) no longer on Schedule A of I••• C•••••• (listed 2022-10-07, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- John Jeffrey Gordon (Ceo/Cio) appeared on Schedule A of I••• C••••••Mar 28, 2023 · Control person joined · fact
- S••••••• K••••• left I••• C•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-05-02)Apr 12, 2022 · Advisor changed firm · fact
- Thomas Daniel Gamache (Chief Investment Officer) no longer on Schedule A of I••• C•••••• (listed 2019-04-15, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- I••• C•••••• reported RAUM $1.4B, up 32% from $1.1B (2017-09-15 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- I••••••••• A•• F••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 26, 2015 · Succession (Item 4) · fact
- I••••••••• A•• F••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2015 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026