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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Former SEC-registered adviser
P••••• R•••• W••••• A•••••••• L••
Latest filing Feb 19, 2024
First filing on the tape Jun 6, 2019 · 13 filings
SEC status approved since Jul 5, 2019
RAUM
$544M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$527M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 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$544M as of Feb 19, 2024
Feb 17, 2020$373M then
HNW client RAUM$525M as of Feb 19, 2024
Feb 17, 2020$373M then
State-registered IARs (5.B.3)3 as of Feb 19, 2024
Feb 17, 20203 then
Employees (5.A)3 as of Feb 19, 2024
Feb 17, 20203 then
Private funds: no history
RAUM +22% over the last fiscal year+8.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2024; every figure names its basis
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $45.5M, 23 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)
- 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)
- 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$525M96%
- Corporations and businesses$15.8M2.9%
- Individuals$2.1M0.4%
- Charitable organizations$1.5M0.3%
- Individual clients
- 15reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 281reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.5M for 23 clientsreported
- 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
Left, latest
- W••••• P•••••• B•••• to L•••Feb 6, 2025 · RIA to RIA
- J•••• M•••• D••••• to L•••Feb 6, 2025 · RIA to RIA
- T•••• R•••••• O•••• to L•••Feb 6, 2025 · RIA to RIA
Joined, latest
- J•••• M•••• D••••• from W•••• F•••• A•••••••Jul 8, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••• R•••••• O•••• from W•••• F•••• A•••••••Jul 8, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• T••••• R•••••• · Managing Membercontrolsince 06/2019 · owns 75% or more
- B••••• W•••••• P•••••• · Director Of Investment Strategysince 08/2020 · owns 5% to 10%
- D•••••• J••••• M•••• · Ccosince 06/2019 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 245 to 281Mar 24, 2023 to Feb 19, 2024
- Charity clients · 1.0 to unsetMar 24, 2023 to Feb 19, 2024
- HNW clients · 58 to 65Mar 24, 2023 to Feb 19, 2024
- Assets in custody · $45.6M to $45.5MMar 24, 2023 to Feb 19, 2024
- Discretionary RAUM · $448M to $544MMar 24, 2023 to Feb 19, 2024
- HNW RAUM · $445M to $525MMar 24, 2023 to Feb 19, 2024
- Individual RAUM · $2.4M to $2.1MMar 24, 2023 to Feb 19, 2024
- RAUM · $448M to $544MMar 24, 2023 to Feb 19, 2024
- Accounts · 232 to 245Jan 14, 2022 to Mar 24, 2023
- HNW clients · 68 to 58Jan 14, 2022 to Mar 24, 2023
- Individual clients · 12 to 15Jan 14, 2022 to Mar 24, 2023
- Assets in custody · $66.6M to $45.6MJan 14, 2022 to Mar 24, 2023
- Discretionary RAUM · $523M to $448MJan 14, 2022 to Mar 24, 2023
- HNW RAUM · $521M to $445MJan 14, 2022 to Mar 24, 2023
- Individual RAUM · $1.5M to $2.4MJan 14, 2022 to Mar 24, 2023
- RAUM · $523M to $448MJan 14, 2022 to Mar 24, 2023
- Accounts · 206 to 232Feb 1, 2021 to Jan 12, 2022
- HNW clients · 55 to 68Feb 1, 2021 to Jan 12, 2022
- Individual clients · 8 to 12Feb 1, 2021 to Jan 12, 2022
- Assets in custody · $41.4M to $66.6MFeb 1, 2021 to Jan 12, 2022
- Discretionary RAUM · $428M to $523MFeb 1, 2021 to Jan 12, 2022
- HNW RAUM · $427M to $521MFeb 1, 2021 to Jan 12, 2022
- Individual RAUM · $695,807 to $1.5MFeb 1, 2021 to Jan 12, 2022
- RAUM · $428M to $523MFeb 1, 2021 to Jan 12, 2022
- Accounts · 198 to 206Aug 24, 2020 to Feb 1, 2021
- Charity clients · unset to 1.0Aug 24, 2020 to Feb 1, 2021
- HNW clients · 59 to 55Aug 24, 2020 to Feb 1, 2021
- Assets in custody · $49.7M to $41.4MAug 24, 2020 to Feb 1, 2021
- Discretionary RAUM · $393M to $428MAug 24, 2020 to Feb 1, 2021
- HNW RAUM · $392M to $427MAug 24, 2020 to Feb 1, 2021
- Individual RAUM · $628,193 to $695,807Aug 24, 2020 to Feb 1, 2021
- RAUM · $393M to $428MAug 24, 2020 to Feb 1, 2021
- Accounts · 171 to 198Jun 26, 2020 to Aug 24, 2020
- HNW clients · 56 to 59Jun 26, 2020 to Aug 24, 2020
- Individual clients · 4 to 8Jun 26, 2020 to Aug 24, 2020
- Discretionary RAUM · $373M to $393MJun 26, 2020 to Aug 24, 2020
- HNW RAUM · $373M to $392MJun 26, 2020 to Aug 24, 2020
- Individual RAUM · $416,646 to $628,193Jun 26, 2020 to Aug 24, 2020
- RAUM · $373M to $393MJun 26, 2020 to Aug 24, 2020
- Accounts · 119 to 171Oct 18, 2019 to Feb 17, 2020
Signals
6 dated events
- P••••• R•••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $544.3M)Mar 6, 2025 · Left the SEC roster · derived
- J•••• M•••• D••••• left P••••• R•••• W••••• A•••••••• L•• for L••• (registered 2024-12-12)Feb 6, 2025 · Advisor changed firm · fact
- W••••• P•••••• B•••• left P••••• R•••• W••••• A•••••••• L•• for L••• (registered 2024-12-12)Feb 6, 2025 · Advisor changed firm · fact
- T•••• R•••••• O•••• left P••••• R•••• W••••• A•••••••• L•• for L••• (registered 2024-12-12)Feb 6, 2025 · Advisor changed firm · fact
- P••••• R•••• W••••• A•••••••• L••'s advisors moved to L••• (Louisville, CO): 3 of 3 registered, on the same dayFeb 6, 2025 · Firm absorbed (people side) · derived
- P••••• R•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2019 · 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