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
A•••• W••••• A•••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Nov 19, 2025 · 4 filings
SEC status approved since Nov 14, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$129M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$131M as of Mar 28, 2026
Nov 19, 2025$114M then
HNW client RAUM$60.0M as of Mar 28, 2026
Nov 19, 2025$51.9M then
State-registered IARs (5.B.3)4 as of Mar 28, 2026
Nov 19, 20254 then
Employees (5.A)6 as of Mar 28, 2026
Nov 19, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $540,541derivedHNW RAUM over HNW clients
- Average account
- $159,731derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $21.6M, 72 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$69.0M53%
- High-net-worth individuals$60.0M46%
- Corporations and businesses$700,0000.5%
- Pension and profit-sharing plans$500,0000.4%
- Charitable organizations$300,0000.2%
- Individual clients
- 293reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 817reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.6M for 72 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• A•••• A•••• | Denver, Co | Jul 23, 2015 | 35 y | 1 |
| D••••• J••••• A•••• | Denver, Co | Oct 7, 2016 | 12 y | 1 |
| M•••••• G• E••••• | Denver, Co | Nov 2, 2018 | 16 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 headcount1 left over 36 months
Left, latest
- P••• R•••••• D••••••• to O•••• I••••••••• I•••Feb 4, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••• R•••••• D••••••• from W•••• F•••• A•••••••Dec 5, 2024 · Wirehouse to independent RIA
- D••••• J••••• A•••• from C••••••••• S••••••••• L••Oct 7, 2016 · Other
- A••••• A•••• A•••• from C••••••••• S••••••••• L••Jul 23, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••••• A•••• · Managing Membercontrolsince 07/2015 · owns 75% or more
- A••••• D•••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 01/2018 · owns 25% to 50%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 28, 2026 to Sep 3, 2026
- HQ city · DEVER to DENVERMar 28, 2026 to Sep 3, 2026
- State-registered IARs · 4 to 3Mar 28, 2026 to Sep 3, 2026
- Succession · false to unsetMar 28, 2026 to Sep 3, 2026
- Accounts · 807 to 817Feb 5, 2026 to Mar 28, 2026
- Advisory employees · 4 to 3Feb 5, 2026 to Mar 28, 2026
- HNW clients · 63 to 111Feb 5, 2026 to Mar 28, 2026
- Individual clients · 366 to 293Feb 5, 2026 to Mar 28, 2026
- Assets in custody · $15.3M to $21.6MFeb 5, 2026 to Mar 28, 2026
- Employees · 5 to 6Feb 5, 2026 to Mar 28, 2026
- Discretionary RAUM · $114M to $131MFeb 5, 2026 to Mar 28, 2026
- HNW RAUM · $51.9M to $60.0MFeb 5, 2026 to Mar 28, 2026
- Individual RAUM · $60.7M to $69.0MFeb 5, 2026 to Mar 28, 2026
- RAUM · $114M to $131MFeb 5, 2026 to Mar 28, 2026
Signals
1 dated events
- P••• R•••••• D••••••• left A•••• W••••• A•••••••• L•• for O•••• I••••••••• I••• (registered 2025-04-02)Feb 4, 2025 · Advisor changed firm · 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
- office@agemy.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-524-2293reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-738-0026reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-738-0029reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/A••••-FINANCIAL-STRATEGIESreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-738-0027reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- agemy.com/contactreportedpublished 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
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026