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

5• C•••••• P•••••••• L••

Bank affiliated wealth managerColorado Springs, ColoradoCRD 290938SEC 801-135955websiteIAPD
Latest filing Jun 12, 2026
First filing on the tape Jun 12, 2026 · 1 filings
SEC status approved since Jul 14, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
73%
$82.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$28.3M
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
1 filings and snapshots on the tape
RAUM: $113M
HNW client RAUM: $41.0M
State-registered IARs (5.B.3): 2
Employees (5.A): 3
Private funds: no history
Practice profile
derived from the filing of Jun 12, 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
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$28.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$207,527derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • Individuals$41.2M36%
  • High-net-worth individuals$41.0M36%
  • Pension and profit-sharing plans$31.1M27%
Individual clients
224reported
HNW clients
36reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
546reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.73 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• J•••• M•••••Certified Financial Planner, Chartered Financial ConsultantColorado Springs, CoFeb 8, 201814 y1
E••• R•••• W••••••Perry, Ga Feb 8, 201812 y1
D••••• R••••• E•••••Colorado Springs, CoFeb 9, 202615 y1
L•••••• W••••••Colorado Springs, CoJul 13, 202610 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
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
    • M•••••• D••••• J•••• · Managing Member/Chief Compliance Officercontrol
      since 10/2017 · owns 75% or more
    • W••••••• E•••• R•••• · Chief Operations Officer
      since 01/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Colorado Springs, Co · principal420
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    3 dated events
    • E•••••••• K•••• S•••••••• left 5• C•••••• P•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2025-01-22)
      Jul 5, 2024 · Advisor changed firm · fact
    • R•••••• S• A•••• F•••••• left 5• C•••••• P•••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2024-06-11)
      Mar 20, 2024 · Advisor changed firm · fact
    • T•••••• N•••••• A••••• left 5• C•••••• P•••••••• L•• for S••• P•••••• W••••• G••••• L•• (registered 2025-01-01)
      Nov 8, 2022 · Advisor changed firm · 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 phone
    719-418-3773reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/33258997/adminreportedpublic record, Form ADV, Sep 18, 2026
    Website
    56CAPITALPARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    719-418-3773reportedpublic record, Form ADV, Jun 12, 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
    Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $28.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026