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
B•••• G• A•••• I••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 1, 2017 · 21 filings
SEC status approved since Sep 29, 2017
RAUM
$258M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$256M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$258M as of Mar 27, 2026
Jan 17, 2018$157M then
HNW client RAUM$227M as of Mar 27, 2026
Jan 17, 2018$110M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Jan 17, 20182 then
Employees (5.A)2 as of Mar 27, 2026
Jan 17, 20182 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $524,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%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
- Custody
- $77.4M, 165 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)
- 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$227M88%
- Individuals$28.9M11%
- Charitable organizations$2.1M0.8%
- Individual clients
- 57reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 492reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.4M for 165 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• G•••••••• A•••• | Denver, Co | Sep 29, 2017 | 41 y | 2 |
| A••• J••••• S•••••• | Denver, Co | Oct 5, 2017 | 32 y | 3 |
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
- A••• J••••• S•••••• from N•••••• F•••••••• G••••• I•••Oct 5, 2017 · Other
- B•••• G•••••••• A•••• from N•••••• F•••••••• G••••• I•••Sep 29, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• B••••• G•••••••• · Managing Member & Chief Compliance Officercontrolsince 09/2017 · owns 75% or more
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 · 481 to 492Jul 21, 2025 to Mar 27, 2026
- HNW clients · 54 to 74Jul 21, 2025 to Mar 27, 2026
- Individual clients · 72 to 57Jul 21, 2025 to Mar 27, 2026
- Assets in custody · $63.6M to $77.4MJul 21, 2025 to Mar 27, 2026
- Insurance-licensed employees · 1 to 2Jul 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $219M to $255MJul 21, 2025 to Mar 27, 2026
- HNW RAUM · $176M to $227MJul 21, 2025 to Mar 27, 2026
- Individual RAUM · $40.9M to $28.9MJul 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $3.1MJul 21, 2025 to Mar 27, 2026
- RAUM · $219M to $258MJul 21, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 6, 2025 to Jul 21, 2025
- Accounts · 460 to 481Mar 27, 2024 to Mar 6, 2025
- BD registered reps · 1 to 2Mar 27, 2024 to Mar 6, 2025
- Charity clients · unset to 1.0Mar 27, 2024 to Mar 6, 2025
- Individual clients · 76 to 72Mar 27, 2024 to Mar 6, 2025
- Assets in custody · $68.3M to $63.6MMar 27, 2024 to Mar 6, 2025
- Insurance-licensed employees · 2 to 1Mar 27, 2024 to Mar 6, 2025
- State-registered IARs · 1 to 2Mar 27, 2024 to Mar 6, 2025
- Discretionary RAUM · $211M to $219MMar 27, 2024 to Mar 6, 2025
- HNW RAUM · $171M to $176MMar 27, 2024 to Mar 6, 2025
- Individual RAUM · $37.8M to $40.9MMar 27, 2024 to Mar 6, 2025
- RAUM · $211M to $219MMar 27, 2024 to Mar 6, 2025
- Accounts · 480 to 460Mar 3, 2023 to Mar 27, 2024
- HNW clients · 53 to 54Mar 3, 2023 to Mar 27, 2024
- Individual clients · 88 to 76Mar 3, 2023 to Mar 27, 2024
- Assets in custody · $189M to $68.3MMar 3, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 2Mar 3, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 1Mar 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $186M to $211MMar 3, 2023 to Mar 27, 2024
- HNW RAUM · $150M to $171MMar 3, 2023 to Mar 27, 2024
- Individual RAUM · $34.4M to $37.8MMar 3, 2023 to Mar 27, 2024
- RAUM · $186M to $211MMar 3, 2023 to Mar 27, 2024
- Accounts · 449 to 480Oct 20, 2022 to Mar 3, 2023
- HNW clients · 54 to 53Oct 20, 2022 to Mar 3, 2023
- Individual clients · 80 to 88Oct 20, 2022 to Mar 3, 2023
- Assets in custody · $200M to $189MOct 20, 2022 to Mar 3, 2023
- Discretionary RAUM · $186M to $186MOct 20, 2022 to Mar 3, 2023
- HNW RAUM · $151M to $150MOct 20, 2022 to Mar 3, 2023
- Individual RAUM · $32.9M to $34.4MOct 20, 2022 to Mar 3, 2023
- RAUM · $186M to $186MOct 20, 2022 to Mar 3, 2023
Signals
1 dated events
- B•••• G• A•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Sep 1, 2017 · 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
- 303-592-5534reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-592-5535reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••GA••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (303) 592-5535reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- brucegalleninvestments.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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026