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
L•••••• C•••••• C•••••••••
Legal name L•••••• C•••••• C•••
Latest filing Mar 4, 2026
First filing on the tape Apr 3, 2012 · 26 filings
SEC status approved since Dec 1, 1986
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$170M as of Mar 4, 2026
Apr 3, 2012$145M then
HNW client RAUM$156M as of Mar 4, 2026
Apr 2, 2018$30.3M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Apr 3, 20120 then
Employees (5.A)4 as of Mar 4, 2026
May 3, 20134 then
Private funds: no history
RAUM +8.8% over the last fiscal year-1.9% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $85.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $514,911derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$156M92%
- Individuals$13.5M7.9%
- Individual clients
- 56reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 330reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M••••• C•••••Certified Financial Planner | Denver, Co | Jan 1, 1999 | 43 y | 1 |
| G••••• T••••• O•••••••• | Denver, Co | May 3, 2010 | 36 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
- C•••• L••••• N••••• to O•••• F•• I•••Jan 29, 2020 · RIA to affiliated broker-dealer or bank
- P•••••• J••• C••••• to A•••• C•••• I••••••••• L••Mar 22, 2019 · RIA to RIA
- M•••••• T• C••••• to O••••••••• S••••••••• I•••Mar 21, 2019 · RIA to affiliated broker-dealer or bank
- D•••• A••••• H•••••••• to C••••••••• S••••••••• L••May 9, 2014 · Other
- S•••• P•••••• E•••• to T•••••••• T•••• C••••••• F••Mar 19, 2004 · Other
Joined, latest
- M•••••• T• C••••• from C••••• A••••••• L••Feb 2, 2017 · Other
- C•••• L••••• N••••• from A••••••••• F•••••••• S•••••••• L••Jan 6, 2015 · Other
- D•••• A••••• H•••••••• from F•••• A••••• A••••••• S•••••••• I•••Nov 27, 2012 · Other
- G••••• T••••• O•••••••• from C••••••••• A•••••••• I••May 3, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••• M••••• · President/Chief Compliance Officercontrolsince 01/1989 · owns 75% or more
- C•••••• K••••••• H•••••• · Secretarysince 01/1989 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 428 to 330Jul 28, 2025 to Mar 4, 2026
- Advisory employees · 3 to 2Jul 28, 2025 to Mar 4, 2026
- BD registered reps · 3 to 2Jul 28, 2025 to Mar 4, 2026
- HNW clients · 37 to 45Jul 28, 2025 to Mar 4, 2026
- Individual clients · 86 to 56Jul 28, 2025 to Mar 4, 2026
- State-registered IARs · 3 to 2Jul 28, 2025 to Mar 4, 2026
- Discretionary RAUM · $156M to $170MJul 28, 2025 to Mar 4, 2026
- HNW RAUM · $136M to $156MJul 28, 2025 to Mar 4, 2026
- Individual RAUM · $19.9M to $13.5MJul 28, 2025 to Mar 4, 2026
- RAUM · $156M to $170MJul 28, 2025 to Mar 4, 2026
- Financial planning clients · 251-500 to 251-500Mar 24, 2025 to Jul 28, 2025
- Accounts · 462 to 428Mar 5, 2025 to Mar 24, 2025
- HNW clients · 54 to 37Mar 5, 2025 to Mar 24, 2025
- Individual clients · 101 to 86Mar 5, 2025 to Mar 24, 2025
- Commission compensation · true to falseMar 5, 2025 to Mar 24, 2025
- Discretionary RAUM · $151M to $156MMar 5, 2025 to Mar 24, 2025
- HNW RAUM · $130M to $136MMar 5, 2025 to Mar 24, 2025
- Individual RAUM · $20.9M to $19.9MMar 5, 2025 to Mar 24, 2025
- RAUM · $151M to $156MMar 5, 2025 to Mar 24, 2025
- Related adviser · true to falseMar 5, 2025 to Mar 24, 2025
- Accounts · 546 to 462Dec 26, 2023 to Mar 18, 2024
- HNW clients · 256 to 54Dec 26, 2023 to Mar 18, 2024
- Individual clients · 290 to 101Dec 26, 2023 to Mar 18, 2024
- Pension plan clients · 6 to 0Dec 26, 2023 to Mar 18, 2024
- Discretionary RAUM · $180M to $151MDec 26, 2023 to Mar 18, 2024
- HNW RAUM · $135M to $130MDec 26, 2023 to Mar 18, 2024
- Individual RAUM · $27.8M to $20.9MDec 26, 2023 to Mar 18, 2024
- Pension RAUM · 16971051.0 to unsetDec 26, 2023 to Mar 18, 2024
- RAUM · $180M to $151MDec 26, 2023 to Mar 18, 2024
- Accounts · 550 to 546Mar 21, 2022 to Apr 25, 2023
- HNW clients · 334 to 256Mar 21, 2022 to Apr 25, 2023
- Individual clients · 199 to 290Mar 21, 2022 to Apr 25, 2023
- Discretionary RAUM · $169M to $180MMar 21, 2022 to Apr 25, 2023
- HNW RAUM · $157M to $135MMar 21, 2022 to Apr 25, 2023
- Individual RAUM · $11.4M to $27.8MMar 21, 2022 to Apr 25, 2023
- Non-discretionary RAUM · $34.6M to $0Mar 21, 2022 to Apr 25, 2023
- Pension RAUM · $34.6M to $17.0MMar 21, 2022 to Apr 25, 2023
- RAUM · $203M to $180MMar 21, 2022 to Apr 25, 2023
- Accounts · 545 to 550Apr 7, 2021 to Mar 21, 2022
- HNW clients · 279 to 334Apr 7, 2021 to Mar 21, 2022
Signals
No event on the tape.
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
- 303-573-5511reportedpublic record, Form ADV, Mar 4, 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
- $85.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026