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
P•••••••• A••••••••• W••••• M•••••••••
Legal name P•••••••• A••••••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 22, 2017 · 23 filings
SEC status approved since Jun 3, 2022
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$144M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$146M as of Mar 31, 2026
Mar 26, 2023$83.3M then
HNW client RAUM$116M as of Mar 31, 2026
Mar 26, 2023$56.8M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 26, 20232 then
Employees (5.A)3 as of Mar 31, 2026
Mar 26, 20233 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $73.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $282,762derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $146MreportedItem 5.I
- Custody
- $500,000, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$116M79%
- Individuals$28.3M19%
- Pension and profit-sharing plans$2.2M1.5%
- Individual clients
- 115reported
- HNW clients
- 74reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 518reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $500,000 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••• T•••••••Certified Financial Planner, Chartered Financial Consultant | Greenwood Village, Co | Jan 15, 2026 | 24 y | 3 |
| A••••• A•••••• K•••• | Greenwood Village, Co | Jan 15, 2026 | 41 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 headcount0 left over 36 months
Left, latest
- B•••••• C•••• F•••••••• to C•••••• S••••• • C••• I•••Jan 9, 2018 · Other
Joined, latest
- B•••••• C•••• F•••••••• from W•••••• • R•••Jun 30, 2017 · Other
- R••••• S•••• T••••••• from W•••••• • R•••Jun 26, 2017 · Other
- A••••• A•••••• K•••• from W•••••• • R•••Jun 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••••• • R•••Jun 30, 2017 · Las Vegas, Nv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• A•••••• A•••••• · Managing Member, Ccocontrolsince 05/2017 · owns 50% to 75%
- T•••••••• R•••••• S•••• · Managing Membercontrolsince 05/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 501 to 518Jan 3, 2026 to Mar 31, 2026
- HNW clients · 56 to 74Jan 3, 2026 to Mar 31, 2026
- Individual clients · 109 to 115Jan 3, 2026 to Mar 31, 2026
- Pension plan clients · 3 to 4Jan 3, 2026 to Mar 31, 2026
- Discretionary RAUM · $125M to $146MJan 3, 2026 to Mar 31, 2026
- HNW RAUM · $87.7M to $116MJan 3, 2026 to Mar 31, 2026
- Individual RAUM · $36.2M to $28.3MJan 3, 2026 to Mar 31, 2026
- Pension RAUM · $1.3M to $2.2MJan 3, 2026 to Mar 31, 2026
- RAUM · $125M to $146MJan 3, 2026 to Mar 31, 2026
- Assets in custody · unset to 500000.0Mar 30, 2025 to Jun 11, 2025
- Custody of client assets · false to trueMar 30, 2025 to Jun 11, 2025
- Financial planning clients · 101-250 to 101-250Mar 30, 2025 to Jun 11, 2025
- Accounts · 582 to 501Jun 23, 2024 to Mar 30, 2025
- HNW clients · 28 to 56Jun 23, 2024 to Mar 30, 2025
- Individual clients · 116 to 109Jun 23, 2024 to Mar 30, 2025
- Discretionary RAUM · $102M to $125MJun 23, 2024 to Mar 30, 2025
- HNW RAUM · $67.8M to $87.7MJun 23, 2024 to Mar 30, 2025
- Individual RAUM · $32.9M to $36.2MJun 23, 2024 to Mar 30, 2025
- Pension RAUM · $973,055 to $1.3MJun 23, 2024 to Mar 30, 2025
- RAUM · $102M to $125MJun 23, 2024 to Mar 30, 2025
- Legal name · P•••••••• A••••••••• L•• to P•••••••• A••••••••• W••••• M••••••••• L••Jun 23, 2024 to Jun 23, 2024
- Business name · P•••••••• A••••••••• L•• to P•••••••• A••••••••• W••••• M•••••••••Jun 23, 2024 to Jun 23, 2024
- Accounts · 580 to 582Feb 15, 2024 to Mar 29, 2024
- Discretionary RAUM · $101M to $102MFeb 15, 2024 to Mar 29, 2024
- HNW RAUM · $68.5M to $67.8MFeb 15, 2024 to Mar 29, 2024
- Individual RAUM · $31.9M to $32.9MFeb 15, 2024 to Mar 29, 2024
- Pension RAUM · $958,520 to $973,055Feb 15, 2024 to Mar 29, 2024
- RAUM · $101M to $102MFeb 15, 2024 to Mar 29, 2024
- HNW clients · 26 to 28Dec 5, 2023 to Dec 14, 2023
- Individual clients · 161 to 116Dec 5, 2023 to Dec 14, 2023
- Discretionary RAUM · $83.3M to $101MDec 5, 2023 to Dec 14, 2023
- HNW RAUM · $56.8M to $68.5MDec 5, 2023 to Dec 14, 2023
- Individual RAUM · $25.5M to $31.9MDec 5, 2023 to Dec 14, 2023
- Pension RAUM · $798,213 to $958,520Dec 5, 2023 to Dec 14, 2023
- RAUM · $83.3M to $101MDec 5, 2023 to Dec 14, 2023
- Accounts · 346 to 580Dec 5, 2023 to Dec 14, 2023
- Charity clients · 1 to 0Dec 5, 2023 to Dec 14, 2023
- Accounts · 337 to 346May 3, 2022 to Mar 26, 2023
- Corporate clients · unset to 0.0May 3, 2022 to Mar 26, 2023
- HNW clients · 45 to 26May 3, 2022 to Mar 26, 2023
Signals
1 dated events
- P•••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)May 22, 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 email
- g••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c•••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-792-1130reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-921-0325reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-921-1000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-921-1000reportedpublic record, Form ADV, Mar 31, 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
- $73.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026