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••••• F••••• O••••• L••
Latest filing Apr 7, 2026
First filing on the tape Mar 19, 2018 · 38 filings
SEC status approved since Aug 23, 2019
RAUM
$347M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
92%
$318M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$347M as of Apr 7, 2026
Feb 7, 2020$127M then
HNW client RAUM$311M as of Apr 7, 2026
Feb 7, 2020$123M then
State-registered IARs (5.B.3)2 as of Apr 7, 2026
Feb 7, 20204 then
Employees (5.A)2 as of Apr 7, 2026
Feb 7, 20204 then
Private funds: no history
RAUM -53% over the last fiscal year-4.4% a year over threeIARs 6 to 2offices 2 to 1
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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $327MreportedItem 5.I
- Custody
- $140M, 29 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$311M90%
- Corporations and businesses$26.2M7.6%
- Individuals$7.1M2.1%
- Charitable organizations$1.9M0.6%
- Insurance companies$552,9200.2%
- Individual clients
- 21reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 229reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $14.5M sponsored, $0 managedreported
- Custody of client assets
- $140M for 29 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• J••• H••• | Austin, Tx | May 7, 2018 | 17 y | 2 |
| A•••••• M• L••••••••Chartered Financial Analyst | Greenwood Village, Co | Aug 31, 2018 | 17 y | 0 |
| A••••• J• S••• | Austin, Tx | Feb 10, 2023 | 13 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 headcount3 left over 36 months
Left, latest
- H•••••• G••••• B••• to B••••• A•••••••Sep 16, 2025 · RIA to a newly registered adviser
- J••• I•••••• C••••••• to B••••• A•••••••Sep 16, 2025 · RIA to a newly registered adviser
- M•••••• C••• to B••••• A•••••••Sep 16, 2025 · RIA to a newly registered adviser
- C•••• A••••• R•••••• to C•••••• A•••• M••••••••• L••Aug 26, 2022 · RIA to RIA
Joined, latest
- H•••••• G••••• B••• from J••• M••••• S••••••••• L••Aug 15, 2019 · Wirehouse to independent RIA
- M••••••• J••• H••• from J••• M••••• S••••••••• L••May 7, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for B••••• A•••••••Sep 16, 2025 · Austin, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• A•••••• J• · Ccocontrolsince 09/2022 · owns less than 5%
- H•••• M•••••••• J••• · Owner / Executive Officercontrolsince 12/2023 · owns 75% or more of C••••• T•••• L••
- L••••••••• A••••••• M• · Owner / Executive Officercontrolsince 12/2023 · owns 75% or more of J•• 1••••• L••
Entity owners
- C••••• T•••• L•• · Memberdirect · owns 25% to 50%
- J•• 1••••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Austin, Tx | 3 | 0 | 0 | ||
| San Antonio, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Antonio, TX1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Apr 7, 2026individual and HNW clients (Item 5.D) moved from 119.0 to 67.0 (-44.0%) between the annual amendments of 2025-04-21 and 2026-04-07; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.2% percentile
- account count collapseChange between filings · filing Apr 7, 2026accounts (Item 5.F.2.f) moved from 413.0 to 229.0 (-45.0%) between the annual amendments of 2025-04-21 and 2026-04-07; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.4% percentile
- advisor count dropChange between filings · filing Apr 7, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 2.0 (-67.0%) between the annual amendments of 2025-04-21 and 2026-04-07; the peer median change was 0.0% (965 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 1.0% percentile
- RAUM down 50 %Change between filings · filing Apr 7, 2026RAUM (Item 5.F) moved from $729,594,023 to $346,555,336 (-53.0%) between the annual amendments of 2025-04-21 and 2026-04-07; the peer median change was +15.0% (4550 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 413 to 229Oct 6, 2025 to Mar 19, 2026
- Advisory employees · 6 to 2Oct 6, 2025 to Mar 19, 2026
- Advisory activities · 5 to 3Oct 6, 2025 to Mar 19, 2026
- HNW clients · 85 to 46Oct 6, 2025 to Mar 19, 2026
- Individual clients · 34 to 21Oct 6, 2025 to Mar 19, 2026
- Assets in custody · $81.5M to $140MOct 6, 2025 to Mar 19, 2026
- Employees · 6 to 2Oct 6, 2025 to Mar 19, 2026
- State-registered IARs · 6 to 2Oct 6, 2025 to Mar 19, 2026
- Other offices · 2 to 1Oct 6, 2025 to Mar 19, 2026
- Discretionary RAUM · $679M to $307MOct 6, 2025 to Mar 19, 2026
- HNW RAUM · $687M to $311MOct 6, 2025 to Mar 19, 2026
- Individual RAUM · $14.3M to $7.1MOct 6, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $51.0M to $39.2MOct 6, 2025 to Mar 19, 2026
- RAUM · $730M to $347MOct 6, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · $0 to $14.5MOct 6, 2025 to Mar 19, 2026
- HQ city · AUSTIN to Apr 21, 2025 to Oct 6, 2025
- HQ state · TX to Apr 21, 2025 to Oct 6, 2025
- Accounts · 370 to 413Dec 18, 2024 to Apr 21, 2025
- HNW clients · 79 to 85Dec 18, 2024 to Apr 21, 2025
- Individual clients · 25 to 34Dec 18, 2024 to Apr 21, 2025
- Assets in custody · $50.9M to $81.5MDec 18, 2024 to Apr 21, 2025
- Financial planning clients · 1-10 to 1-10Dec 18, 2024 to Apr 21, 2025
- Other offices · 4 to 2Dec 18, 2024 to Apr 21, 2025
- Discretionary RAUM · $495M to $679MDec 18, 2024 to Apr 21, 2025
- HNW RAUM · $504M to $687MDec 18, 2024 to Apr 21, 2025
- Individual RAUM · $7.9M to $14.3MDec 18, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $36.9M to $51.0MDec 18, 2024 to Apr 21, 2025
- RAUM · $532M to $730MDec 18, 2024 to Apr 21, 2025
- Wrap assets (sponsor) · $20.5M to $0Dec 18, 2024 to Apr 21, 2025
- Accounts · 317 to 370Aug 3, 2023 to Feb 2, 2024
- HNW clients · 71 to 79Aug 3, 2023 to Feb 2, 2024
- Assets in custody · $41.5M to $50.9MAug 3, 2023 to Feb 2, 2024
- Discretionary RAUM · $375M to $495MAug 3, 2023 to Feb 2, 2024
- HNW RAUM · $388M to $504MAug 3, 2023 to Feb 2, 2024
- Individual RAUM · $6.6M to $7.9MAug 3, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $21.6M to $36.9MAug 3, 2023 to Feb 2, 2024
- RAUM · $397M to $532MAug 3, 2023 to Feb 2, 2024
- Wrap assets (sponsor) · $9.1M to $20.5MAug 3, 2023 to Feb 2, 2024
- HQ city · unset to AUSTINFeb 28, 2023 to Mar 23, 2023
- HQ state · unset to TXFeb 28, 2023 to Mar 23, 2023
Signals
17 dated events
- C••••• F••••• O••••• L•• reported RAUM $346.6M, down 53% from $729.6M (2025-10-06 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- H•••••• G••••• B••• left C••••• F••••• O••••• L•• for B••••• A••••••• (registered 2025-09-16)Sep 16, 2025 · Advisor changed firm · fact
- J••• I•••••• C••••••• left C••••• F••••• O••••• L•• for B••••• A••••••• (registered 2025-09-16)Sep 16, 2025 · Advisor changed firm · fact
- M•••••• C••• left C••••• F••••• O••••• L•• for B••••• A••••••• (registered 2025-09-16)Sep 16, 2025 · Advisor changed firm · fact
- C••••• F••••• O••••• L••'s advisors moved to B••••• A••••••• (Austin, TX): 3 of 6 registered, on the same daySep 16, 2025 · Firm absorbed (people side) · derived
- C••••• F••••• O••••• L•• reported RAUM $729.6M, up 37% from $531.8M (2024-12-18 to 2025-04-21)Apr 21, 2025 · RAUM change · derived
- M Anthony Lopiccolo (Owner / Executive Officer) appeared on Schedule A of C••••• F••••• O••••• L••May 16, 2024 · Control person joined · fact
- John Mitchell Herr (Owner / Executive Officer) appeared on Schedule A of C••••• F••••• O••••• L••May 16, 2024 · Control person joined · fact
- C••••• F••••• O••••• L•• reported RAUM $531.8M, up 34% from $396.9M (2023-08-03 to 2024-02-02)Feb 2, 2024 · RAUM change · derived
- M Anthony Lopiccolo (Member) no longer on Schedule A of C••••• F••••• O••••• L•• (listed 2023-08-03, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- John Mitchell Herr (Member) no longer on Schedule A of C••••• F••••• O••••• L•• (listed 2023-08-03, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- C••••• F••••• O••••• L•• reported RAUM $396.9M, up 34% from $296.8M (2022-10-17 to 2023-02-24)Feb 24, 2023 · RAUM change · derived
- Andrew Chase Rodawig (Cco, Member) no longer on Schedule A of C••••• F••••• O••••• L•• (listed 2022-01-31, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- J Audrey Soza (Cco) appeared on Schedule A of C••••• F••••• O••••• L••Sep 2, 2022 · Control person joined · fact
- C•••• A••••• R•••••• left C••••• F••••• O••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2022-09-01)Aug 26, 2022 · Advisor changed firm · fact
- C••••• F••••• O••••• L•• reported RAUM $296.8M, up 65% from $180.2M (2021-11-23 to 2022-01-31)Jan 31, 2022 · RAUM change · derived
- C••••• F••••• O••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• Family Office, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 303-536-5313reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-536-5316reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-351-7909reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••FO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-578-7024reportedpublic record, Form ADV, Apr 7, 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026