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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E•••••• C•••••• A•••••••
Legal name E•••••• C•••••• A•••••••• I•••
Latest filing Sep 1, 2026
First filing on the tape Nov 18, 2020 · 16 filings
SEC status approved since Dec 18, 2020
RAUM
$183M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$180M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$36.7M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$183M as of May 14, 2026
Mar 26, 2021$127M then
HNW client RAUM$140M as of May 14, 2026
Mar 26, 2021$61.7M then
State-registered IARs (5.B.3)5 as of May 14, 2026
Mar 26, 20214 then
Employees (5.A)6 as of May 14, 2026
Mar 26, 20216 then
Private funds1 as of Jun 6, 2025
Mar 16, 20231 then
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 1, 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
- RAUM per advisor
- $36.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $323,826derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $50.4M, 85 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)
- 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$140M76%
- Individuals$40.5M22%
- Charitable organizations$1.5M0.8%
- Corporations and businesses$849,2220.5%
- Pension and profit-sharing plans$822,9550.4%
- Individual clients
- 118reported
- HNW clients
- 82reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 566reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.4M for 85 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R••••• F•••••Chartered Financial Analyst | Wesley Chapel, Fl | Jun 23, 2017 | 14 y | 0 |
| K•••••• A•••• A••••••••Certified Financial Planner, Chartered Financial Consultant | Eagle, Co | Jun 27, 2017 | 27 y | 2 |
| K••• G••••• L••••••Chartered Financial Analyst | Grand Junction, Co | Nov 18, 2020 | 13 y | 1 |
| T••••• D•••• | Eagle, Co | Apr 6, 2023 | 16 y | 1 |
| C••••••••• L•••••• S••••••••• | Eagle, Co | Jan 1, 2025 | 16 y | 4 |
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
- E•••• E•••••• B•••• to N••••••••• M••••• I••••••••• S•••••••••Nov 10, 2023 · Other
Joined, latest
- C••••••••• L•••••• S••••••••• from L•• F•••••••• L••Jan 1, 2025 · RIA to RIA
- E•••• E•••••• B•••• from F••••••• P••••••• A•• W•••••••• A•••••••Nov 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- T••••• D•••• from N••••••••• M••••• I••••••••• S•••••••••Apr 6, 2023 · Other
- K••• G••••• L•••••• from F•••• F••••••••Nov 18, 2020 · RIA to RIA
- K•••••• A•••• A•••••••• from N••••••••• M••••• W••••• M••••••••• C••••••Jun 27, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• V••••••• N•• I••••••••• F•••• L•• | Venture Capital Fund | $1.9M | 37 | Mar 31, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• K••••••• A•••• · Managing Member/ Chief Compliance Officercontrolsince 03/2017 · owns 50% to 75%
- F•••••• S••••• R••••• · Managing Membercontrolsince 03/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- K•••••• A• A••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Eagle, Co · principal | 5 | 0 | 0 | ||
| Chicago, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 14, 2026 to Sep 1, 2026
- Succession · false to unsetMay 14, 2026 to Sep 1, 2026
- Accounts · 589 to 566Jun 6, 2025 to Feb 2, 2026
- Advisory employees · 4 to 5Jun 6, 2025 to Feb 2, 2026
- Advisory activities · 4 to 3Jun 6, 2025 to Feb 2, 2026
- Corporate clients · 8 to 6Jun 6, 2025 to Feb 2, 2026
- HNW clients · 94 to 82Jun 6, 2025 to Feb 2, 2026
- Individual clients · 109 to 118Jun 6, 2025 to Feb 2, 2026
- Assets in custody · $30.6M to $50.4MJun 6, 2025 to Feb 2, 2026
- Custody of client assets · false to trueJun 6, 2025 to Feb 2, 2026
- Insurance-licensed employees · 0 to 1Jun 6, 2025 to Feb 2, 2026
- Private funds · 1 to unsetJun 6, 2025 to Feb 2, 2026
- Discretionary RAUM · $147M to $176MJun 6, 2025 to Feb 2, 2026
- HNW RAUM · $120M to $140MJun 6, 2025 to Feb 2, 2026
- Individual RAUM · $34.1M to $40.5MJun 6, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $9.2M to $7.3MJun 6, 2025 to Feb 2, 2026
- Pension RAUM · $701,670 to $822,955Jun 6, 2025 to Feb 2, 2026
- RAUM · $156M to $183MJun 6, 2025 to Feb 2, 2026
- Financial planning clients · 101-250 to 101-250May 19, 2025 to Jun 6, 2025
- Accounts · 597 to 589Jan 22, 2025 to Feb 20, 2025
- Advisory employees · 6 to 4Jan 22, 2025 to Feb 20, 2025
- Charity clients · unset to 2.0Jan 22, 2025 to Feb 20, 2025
- Corporate clients · 9 to 8Jan 22, 2025 to Feb 20, 2025
- Individual clients · 129 to 109Jan 22, 2025 to Feb 20, 2025
- Pooled vehicle clients · 1.0 to unsetJan 22, 2025 to Feb 20, 2025
- Assets in custody · unset to 30642030.0Jan 22, 2025 to Feb 20, 2025
- Financial planning clients · 51-100 to 101-250Jan 22, 2025 to Feb 20, 2025
- Discretionary RAUM · $126M to $147MJan 22, 2025 to Feb 20, 2025
- HNW RAUM · $100M to $120MJan 22, 2025 to Feb 20, 2025
- Individual RAUM · $35.0M to $34.1MJan 22, 2025 to Feb 20, 2025
- Non-discretionary RAUM · $13.5M to $9.2MJan 22, 2025 to Feb 20, 2025
- Pension RAUM · $725,888 to $701,670Jan 22, 2025 to Feb 20, 2025
- Pooled vehicle RAUM · 1855855.0 to unsetJan 22, 2025 to Feb 20, 2025
- RAUM · $140M to $156MJan 22, 2025 to Feb 20, 2025
- Accounts · 701 to 597Nov 28, 2023 to Mar 6, 2024
- Advisory employees · 3 to 6Nov 28, 2023 to Mar 6, 2024
- Corporate clients · 5 to 9Nov 28, 2023 to Mar 6, 2024
- HNW clients · 90 to 94Nov 28, 2023 to Mar 6, 2024
- Pension plan clients · 1 to 2Nov 28, 2023 to Mar 6, 2024
- Employees · 5 to 6Nov 28, 2023 to Mar 6, 2024
Signals
2 dated events
- E•••• E•••••• B•••• left E•••••• C•••••• A••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-07-01)Nov 10, 2023 · Advisor changed firm · fact
- E•••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Nov 18, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••••• C•••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 970-328-7526reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E••••••CAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 970-328-7526reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- elevatecapitaladvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- elevatecapitaladvisors.com/our-teamreportedpublished 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
- $36.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026