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
C•••• C•••• A•••••••
Legal name C•••• C•••• W••••• M••••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Nov 2, 2018 · 22 filings
SEC status approved since Dec 3, 2018
RAUM
$722M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$722M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$80.3M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$722M as of Apr 7, 2026
Jan 14, 2019$127M then
HNW client RAUM$354M as of Apr 7, 2026
Jan 14, 2019$80.8M then
State-registered IARs (5.B.3)9 as of Apr 7, 2026
Jan 14, 20193 then
Employees (5.A)9 as of Apr 7, 2026
Jan 14, 20194 then
Private funds: no history
RAUM +32% over the last fiscal year+35% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Apr 7, 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
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $301,032derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $91.0M, 112 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)
- 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
- Individuals$369M51%
- High-net-worth individuals$354M49%
- Individual clients
- 384reported
- HNW clients
- 99reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,400reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $91.0M for 112 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• L••••••• K••• | Denver, Co | Jun 2, 2017 | 18 y | 5 |
| R••••• P••• K••••• | Denver, Co | Aug 17, 2017 | 16 y | 3 |
| E••• S•••• F•••••••• | Denver, Co | Oct 31, 2017 | 26 y | 2 |
| W•••••• G•••••• B••••••• | Denver, Co | Apr 18, 2023 | 11 y | 2 |
| A••• B•••• M•••••• | Denver, Co | Apr 18, 2023 | 10 y | 0 |
| C•••• C• R•••• | Denver, Co | Feb 10, 2025 | 12 y | 1 |
| C••••• C•••••• S••••• | Denver, Co | Feb 10, 2025 | 13 y | 0 |
| N•••• D•••• | Denver, Co | Oct 9, 2025 | 12 y | 1 |
| S•••• R••••• H••••••• | Denver, Co | Feb 12, 2026 | 14 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- S•••• R••••• H••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- N•••• D•••• from E•••••••• A•••••••• L••Oct 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••• C• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 10, 2025 · Wirehouse to independent RIA
- W•••••• G•••••• B••••••• from K••••• A••••••• S•••••••• L••Apr 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- E••• S•••• F•••••••• from T••••••••• F•••••••• A•••••••• L••Oct 31, 2017 · Other
- R••••• P••• K••••• from A•••••••• C•••••• M•••••••••Aug 17, 2017 · Other
- E••• L••••••• K••• from T•• W••••• P•••••••Jun 2, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••• D••••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- K•••• E•••• L••••••• · Managing Member/Chief Executive Officercontrolsince 03/2017 · owns less than 5%
- K•••• E•••• L••••••• · Membercontrolsince 03/2017 · owns 50% to 75% of C•••• C•••• A•••••••• L••
- O•••••••• S••••• M••• · Sole Membercontrolsince 12/2021 · owns 75% or more of S•• P•••••••• L••
Entity owners
- C•••• C•••• A•••••••• L•• · Sole Memberdirect · owns 75% or more
- S•• P•••••••• L•• · Memberindirect · owns 25% to 50% of C•••• C•••• A•••••••• L••
Related persons
Schedule D 7.A
- A••••••• A••••• L••investment advisernRAUM $4.4B
- C•••• C•••• I••••••••• L••real estatey
Advisers that list C•••• C•••• A••••••• as a related person
- 158282 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 9 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 7, 2026HNW share of RAUM moved from 81.0% to 49.0% between the annual amendments of 2025-03-27 and 2026-04-07peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,035 to 2,400Oct 9, 2025 to Feb 13, 2026
- Advisory employees · 8 to 9Oct 9, 2025 to Feb 13, 2026
- HNW clients · 210 to 99Oct 9, 2025 to Feb 13, 2026
- Individual clients · 223 to 384Oct 9, 2025 to Feb 13, 2026
- Assets in custody · $72.6M to $91.0MOct 9, 2025 to Feb 13, 2026
- Employees · 12 to 9Oct 9, 2025 to Feb 13, 2026
- State-registered IARs · 7 to 9Oct 9, 2025 to Feb 13, 2026
- Discretionary RAUM · $523M to $688MOct 9, 2025 to Feb 13, 2026
- HNW RAUM · $446M to $354MOct 9, 2025 to Feb 13, 2026
- Individual RAUM · $102M to $369MOct 9, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $25.1M to $34.0MOct 9, 2025 to Feb 13, 2026
- RAUM · $548M to $722MOct 9, 2025 to Feb 13, 2026
- Advisory employees · 7 to 8Mar 27, 2025 to Oct 9, 2025
- Employees · 11 to 12Mar 27, 2025 to Oct 9, 2025
- Accounts · 541 to 2,035Oct 22, 2024 to Mar 27, 2025
- Advisory employees · 5 to 7Oct 22, 2024 to Mar 27, 2025
- HNW clients · 208 to 210Oct 22, 2024 to Mar 27, 2025
- Individual clients · 333 to 223Oct 22, 2024 to Mar 27, 2025
- Assets in custody · unset to 72587564.0Oct 22, 2024 to Mar 27, 2025
- Custody of client assets · false to trueOct 22, 2024 to Mar 27, 2025
- Employees · 8 to 11Oct 22, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Oct 22, 2024 to Mar 27, 2025
- State-registered IARs · 5 to 7Oct 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $358M to $523MOct 22, 2024 to Mar 27, 2025
- HNW RAUM · $271M to $446MOct 22, 2024 to Mar 27, 2025
- Individual RAUM · $105M to $102MOct 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $18.5M to $25.1MOct 22, 2024 to Mar 27, 2025
- RAUM · $376M to $548MOct 22, 2024 to Mar 27, 2025
- Accounts · 1,301 to 541May 30, 2023 to Feb 8, 2024
- HNW clients · 172 to 208May 30, 2023 to Feb 8, 2024
- Individual clients · 289 to 333May 30, 2023 to Feb 8, 2024
- State-registered IARs · 4 to 5May 30, 2023 to Feb 8, 2024
- Discretionary RAUM · $279M to $358MMay 30, 2023 to Feb 8, 2024
- HNW RAUM · $204M to $271MMay 30, 2023 to Feb 8, 2024
- Individual RAUM · $90.2M to $105MMay 30, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $14.7M to $18.5MMay 30, 2023 to Feb 8, 2024
- RAUM · $294M to $376MMay 30, 2023 to Feb 8, 2024
- Accounts · 1,119 to 1,301Mar 10, 2022 to Feb 9, 2023
- Advisory employees · 6 to 5Mar 10, 2022 to Feb 9, 2023
- HNW clients · 142 to 172Mar 10, 2022 to Feb 9, 2023
Signals
5 dated events
- C•••• C•••• A••••••• reported RAUM $722.5M, up 32% from $548.3M (2025-10-09 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- C•••• C•••• A••••••• reported RAUM $548.3M, up 46% from $376.3M (2024-10-22 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Mark Steve Osterink (Sole Member) appeared on Schedule A of C•••• C•••• A•••••••Feb 24, 2022 · Control person joined · fact
- John Matthew Ritter (Partner/Managing Member) no longer on Schedule A of C•••• C•••• A••••••• (listed 2021-02-12, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- C•••• C•••• A••••••• filed its initial SEC registration (Form ADV)Nov 2, 2018 · 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 email
- info@ccaretirement.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-642-8348reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-834-0441reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CCARETIREMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (720) 642-8348reportedpublic record, Form ADV, Apr 7, 2026
- Team page
- ccaretirement.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
- $80.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026