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.

Former SEC-registered adviser

Prism Financial Strategies, LLC

Former SEC-registered adviserEnglewood, ColoradoCRD 289033SEC 801-118925IAPD
Latest filing Feb 17, 2023
First filing on the tape Jul 14, 2017 · 13 filings
RAUM
$196M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
86%
$168M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$196M as of Feb 17, 2023
Feb 17, 2021$316M then
HNW client RAUM$113M as of Feb 17, 2023
Feb 17, 2021$100M then
State-registered IARs (5.B.3)7 as of Feb 17, 2023
Feb 17, 20217 then
Employees (5.A)8 as of Feb 17, 2023
Feb 17, 20217 then
Private funds: no history
RAUM -14% over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Feb 17, 2023; every figure names its basis
RAUM per advisor
$28.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$265,444derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$113M58%
  • Individuals$54.2M28%
  • Pension and profit-sharing plans$22.1M11%
  • Charitable organizations$5.0M2.6%
  • Corporations and businesses$1.2M0.6%
Individual clients
222reported
HNW clients
61reported
Pension plan clients
6reported
Charitable clients
6reported
Accounts
738reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gene Jeffrey Engelman · Managing Member, Ccocontrol
    since 06/2017 · owns 75% or more
  • David Eric Maaske · Managing Member
    since 06/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Englewood, Co · principal000
Bennet, Ne000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 701 to 738
    Oct 3, 2022 to Feb 17, 2023
  • Advisory employees · 6 to 5
    Oct 3, 2022 to Feb 17, 2023
  • Advisory activities · 4 to 5
    Oct 3, 2022 to Feb 17, 2023
  • Corporate clients · unset to 2.0
    Oct 3, 2022 to Feb 17, 2023
  • HNW clients · 51 to 61
    Oct 3, 2022 to Feb 17, 2023
  • Individual clients · 218 to 222
    Oct 3, 2022 to Feb 17, 2023
  • Pension plan clients · 8 to 6
    Oct 3, 2022 to Feb 17, 2023
  • Financial planning clients · 101-250 to 251-500
    Oct 3, 2022 to Feb 17, 2023
  • Discretionary RAUM · $197M to $174M
    Oct 3, 2022 to Feb 17, 2023
  • HNW RAUM · $125M to $113M
    Oct 3, 2022 to Feb 17, 2023
  • Individual RAUM · $65.3M to $54.2M
    Oct 3, 2022 to Feb 17, 2023
  • Non-discretionary RAUM · $30.9M to $22.1M
    Oct 3, 2022 to Feb 17, 2023
  • Pension RAUM · $30.9M to $22.1M
    Oct 3, 2022 to Feb 17, 2023
  • RAUM · $227M to $196M
    Oct 3, 2022 to Feb 17, 2023
  • Accounts · 636 to 701
    Oct 21, 2021 to Jan 24, 2022
  • Advisory employees · 7 to 6
    Oct 21, 2021 to Jan 24, 2022
  • Charity clients · unset to 6.0
    Oct 21, 2021 to Jan 24, 2022
  • HNW clients · 49 to 51
    Oct 21, 2021 to Jan 24, 2022
  • Individual clients · 200 to 218
    Oct 21, 2021 to Jan 24, 2022
  • Pension plan clients · 13 to 8
    Oct 21, 2021 to Jan 24, 2022
  • Employees · 7 to 8
    Oct 21, 2021 to Jan 24, 2022
  • Discretionary RAUM · $159M to $197M
    Oct 21, 2021 to Jan 24, 2022
  • HNW RAUM · $100M to $125M
    Oct 21, 2021 to Jan 24, 2022
  • Individual RAUM · $54.1M to $65.3M
    Oct 21, 2021 to Jan 24, 2022
  • Non-discretionary RAUM · $157M to $30.9M
    Oct 21, 2021 to Jan 24, 2022
  • Pension RAUM · $43.0M to $30.9M
    Oct 21, 2021 to Jan 24, 2022
  • RAUM · $316M to $227M
    Oct 21, 2021 to Jan 24, 2022
  • Accounts · 394 to 636
    Nov 20, 2020 to Feb 17, 2021
  • Advisory employees · 6 to 7
    Nov 20, 2020 to Feb 17, 2021
  • Advisory activities · 5 to 4
    Nov 20, 2020 to Feb 17, 2021
  • HNW clients · 22 to 49
    Nov 20, 2020 to Feb 17, 2021
  • Individual clients · 115 to 200
    Nov 20, 2020 to Feb 17, 2021
  • Pooled vehicle clients · 11.0 to unset
    Nov 20, 2020 to Feb 17, 2021
  • Employees · 6 to 7
    Nov 20, 2020 to Feb 17, 2021
  • Financial planning clients · 51-100 to 101-250
    Nov 20, 2020 to Feb 17, 2021
  • State-registered IARs · 6 to 7
    Nov 20, 2020 to Feb 17, 2021
  • Discretionary RAUM · $166M to $159M
    Nov 20, 2020 to Feb 17, 2021
  • HNW RAUM · $51.2M to $100M
    Nov 20, 2020 to Feb 17, 2021
  • Individual RAUM · $31.7M to $54.1M
    Nov 20, 2020 to Feb 17, 2021
  • Non-discretionary RAUM · $153M to $157M
    Nov 20, 2020 to Feb 17, 2021
Signals
9 dated events
  • Robert S Single left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2023-05-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • Shelly Lynne Schell left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2023-05-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • Jeffrey Gene Engelman left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2023-05-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • Ryan R Wells left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2023-05-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • Amy Lynne Shroff left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2023-05-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • Thomas Amedio Gonnella left Prism Financial Strategies, Llc for Tag Capital Investments, Llc (registered 2020-04-06)
    Dec 14, 2023 · Advisor changed firm · fact
  • Prism Financial Strategies, LLC's advisors moved to Integrated Wealth Concepts LLC (Englewood, CO): 5 of 6 registered, on the same day
    Dec 14, 2023 · Firm absorbed (people side) · derived
  • Peter Eliot Gaide left Prism Financial Strategies, Llc for Integrated Wealth Concepts Llc (registered 2025-01-27)
    Dec 12, 2023 · Advisor changed firm · fact
  • Prism Financial Strategies, Llc filed its initial SEC registration (Form ADV)
    Jul 14, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026