DFX Intelligence
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P•••• O• M••• F•••••••• P•••••••• I••
Independent wealth manager, based in Colorado Springs, Colorado, reporting $124M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $124M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.7%
- Private clients
- 96% of RAUM, $118M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- discretionary share of RAUM 0Peer median 1
- Contact points 2
Every filed figure, and the identifiersCRD 289067 · SEC 801-122428 · 7 filingsShowHide
CRD 289067SEC 801-122428Legal name P•••• O• M••• F••••••••• I••First filing on the tape Aug 31, 2021, latest Mar 27, 2026SEC status approved since Sep 30, 2021IAPD
RAUM
$124M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.8M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$124M as of Mar 27, 2026
Feb 22, 2022$121M then
HNW client RAUM$63.6M as of Mar 27, 2026
Feb 22, 2022$60.9M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Feb 22, 20222 then
Employees (5.A)5 as of Mar 27, 2026
Feb 22, 20226 then
Private funds: no history
RAUM +4.7% over the last fiscal year+5.3% 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
- $61.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $306,024derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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$63.6M51%
- Individuals$54.8M44%
- Charitable organizations$5.2M4.2%
- Individual clients
- 104reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 404reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| L•••• Y••• L••••Certified Financial Planner | Colorado Springs, Co | Aug 7, 2017 | 33 y | 2 |
| D••••••• R•••• P•••••••••Certified Financial Planner | Colorado Springs, Co | Sep 3, 2020 | 10 y | 0 |
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
- L•••• Y••• L•••• from I••• N•• J••• M••••• I•••Aug 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• L••••• Y••• · President And Chief Compliance Officercontrolsince 02/2020 · owns 75% or more
- P••••••••• D•••••••• R•••• · Shareholdersince 01/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 429 to 404Feb 28, 2025 to Mar 27, 2026
- Advisory employees · 3 to 2Feb 28, 2025 to Mar 27, 2026
- HNW clients · 16 to 17Feb 28, 2025 to Mar 27, 2026
- Individual clients · 107 to 104Feb 28, 2025 to Mar 27, 2026
- HNW RAUM · $57.6M to $63.6MFeb 28, 2025 to Mar 27, 2026
- Individual RAUM · $53.4M to $54.8MFeb 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $118M to $124MFeb 28, 2025 to Mar 27, 2026
- RAUM · $118M to $124MFeb 28, 2025 to Mar 27, 2026
- Accounts · 417 to 429Mar 27, 2024 to Feb 28, 2025
- HNW clients · 14 to 16Mar 27, 2024 to Feb 28, 2025
- Individual clients · 108 to 107Mar 27, 2024 to Feb 28, 2025
- Employees · 6 to 5Mar 27, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Feb 28, 2025
- HNW RAUM · $52.3M to $57.6MMar 27, 2024 to Feb 28, 2025
- Individual RAUM · $57.1M to $53.4MMar 27, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $115M to $118MMar 27, 2024 to Feb 28, 2025
- RAUM · $115M to $118MMar 27, 2024 to Feb 28, 2025
- Accounts · 426 to 417Mar 9, 2023 to Mar 27, 2024
- HNW clients · 15 to 14Mar 9, 2023 to Mar 27, 2024
- Individual clients · 104 to 108Mar 9, 2023 to Mar 27, 2024
- HNW RAUM · $50.0M to $52.3MMar 9, 2023 to Mar 27, 2024
- Individual RAUM · $49.3M to $57.1MMar 9, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $106M to $115MMar 9, 2023 to Mar 27, 2024
- RAUM · $106M to $115MMar 9, 2023 to Mar 27, 2024
- Accounts · 486 to 426Feb 22, 2022 to Mar 9, 2023
- Advisory employees · 2 to 3Feb 22, 2022 to Mar 9, 2023
- HNW clients · 17 to 15Feb 22, 2022 to Mar 9, 2023
- Individual clients · 108 to 104Feb 22, 2022 to Mar 9, 2023
- HNW RAUM · $60.9M to $50.0MFeb 22, 2022 to Mar 9, 2023
- Individual RAUM · $51.8M to $49.3MFeb 22, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $121M to $106MFeb 22, 2022 to Mar 9, 2023
- RAUM · $121M to $106MFeb 22, 2022 to Mar 9, 2023
- Accounts · 183 to 486Dec 9, 2021 to Feb 22, 2022
- Charity clients · 4.0 to unsetDec 9, 2021 to Feb 22, 2022
- Corporate clients · 0.0 to unsetDec 9, 2021 to Feb 22, 2022
- HNW clients · 21 to 17Dec 9, 2021 to Feb 22, 2022
- Individual clients · 83 to 108Dec 9, 2021 to Feb 22, 2022
- Pension plan clients · 0.0 to unsetDec 9, 2021 to Feb 22, 2022
- Pooled vehicle clients · 0.0 to unsetDec 9, 2021 to Feb 22, 2022
- Employees · 7 to 6Dec 9, 2021 to Feb 22, 2022
Signals
1 dated events
- ••• LockedAug 31, 2021 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
- $61.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026