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
1••• I••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 8, 2021 · 13 filings
SEC status approved since Mar 11, 2021
RAUM
$5.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$5.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$5.9B as of Mar 27, 2026
Mar 30, 2022$17B then
HNW client RAUM$5.6M as of Mar 27, 2026
Mar 30, 2022$4.2B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20220 then
Employees (5.A)13 as of Mar 27, 2026
Mar 30, 202211 then
Private funds5 as of Mar 27, 2026
Mar 30, 20225 then
RAUM +1.9% over the last fiscal year-4.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $350,817derivedHNW RAUM over HNW clients
- Average account
- $174MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $5.9B, 34 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.9B99%
- Corporations and businesses$47.3M0.8%
- High-net-worth individuals$5.6M0.1%
- Individual clients
- n/areported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 34reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.9B for 34 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• F•••• L•• | Other Private Fund | $4.9B | 25 | Mar 31, 2023 |
| L••••• M•••••• 1••• F•••• L•• | Hedge Fund | $2.9B | 1 | Feb 8, 2021 |
| I••••••• M•••••• 1••• F•••• L•• | Private Equity Fund | $1.8B | 1 | Feb 8, 2021 |
| 1••• N•• F•••• L•• | Other Private Fund | $945M | 6 | Feb 8, 2021 |
| V•••• I••••••••• L•• | Liquidity Fund | $297M | 36 | Feb 8, 2021 |
| E••••• L•• | Other Private Fund | $85.3M | 33 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••••• C•••••• · Chief Investment Officer / Elected Managercontrolsince 03/2023 · owns less than 5%
- M••• D••••• J• · Elected Managercontrolsince 04/2022 · owns less than 5%
- M•••••• S•••• · Assistant Treasurercontrolsince 12/2023 · owns less than 5%
- T•••••• K••••• J• · Chief Compliance Officer, Secretary And General Counselcontrolsince 08/2021 · owns less than 5%
- W•••• K••••• A•• · Treasurercontrolsince 12/2020 · owns less than 5%
- W•••••• C••••••••• C••• J•••• · President & Chief Operating Officer / Elected Managercontrolsince 12/2020 · owns less than 5%
- F••••••• G••••••• W• · Trusteecontrolsince 08/2019 · owns F of R•••••••• M•••••• T•••• C•••••• B• D•••• H• K••• 2••• T•••• U•••• 1••••••
- K•••• C••••••• C•••• · Elected Managercontrolsince 02/2023 · owns F of 1••• M••••••••• L••
- K•••• C••••••• D••••••• · Trusteecontrolsince 12/1997 · owns F of C•••••• G• K••• 1••• T•••• D•••• D••••••• 1•• 1•••
- K•••• J••••• F• · Elected Managercontrolsince 02/2023 · owns F of 1••• M••••••••• L••
- M••• D••••• J• · Elected Managercontrolsince 12/2014 · owns F of 1••• M••••••••• L••
- R••••••••• D••••• L•• · Trusteecontrolsince 02/2024 · owns F of R•••••••• M•••••• T•••• C•••••• B• D•••• H• K••• 2••• T•••• U•••• 1••••••
Entity owners
- 1••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
- B••••••• T•••• C•••••• O• D•••••••• N••• · Trusteeindirect · owns F of R•••••••• M•••••• T•••• C•••••• B• D•••• H• K••• 2••• T•••• U•••• 1••••••
- C•••••• G• K••• 1••• T•••• D•••• D••••••• 1•• 1••• · Memberindirect · owns 25% to 50% of 1••• M••••••••• L••
- R•••••••• M•••••• T•••• C•••••• B• D•••• H• K••• 2••• T•••• U•••• 1•••••• · Memberindirect · owns 25% to 50% of 1••• M••••••••• L••
- T•• B••••••• G••••• I••••••••• · Shareholderindirect · owns 75% or more of B••••••• T•••• C•••••• O• D•••••••• N•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 32 to 34Mar 27, 2025 to Mar 27, 2026
- HNW clients · 14 to 16Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $5.8B to $5.9BMar 27, 2025 to Mar 27, 2026
- Employees · 14 to 13Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $5.8B to $5.9BMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $34,640 to $5.6MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $5.8B to $5.9BMar 27, 2025 to Mar 27, 2026
- RAUM · $5.8B to $5.9BMar 27, 2025 to Mar 27, 2026
- Accounts · 36 to 32Apr 22, 2024 to Mar 27, 2025
- Charity clients · 12 to 11Apr 22, 2024 to Mar 27, 2025
- HNW clients · 17 to 14Apr 22, 2024 to Mar 27, 2025
- Assets in custody · $5.9B to $5.8BApr 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Apr 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $5.9B to $5.8BApr 22, 2024 to Mar 27, 2025
- HNW RAUM · $32,268 to $34,640Apr 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $5.9B to $5.8BApr 22, 2024 to Mar 27, 2025
- RAUM · $5.9B to $5.8BApr 22, 2024 to Mar 27, 2025
- Accounts · 56 to 36Mar 8, 2024 to Mar 28, 2024
- Advisory employees · 6 to 7Mar 8, 2024 to Mar 28, 2024
- Charity clients · 13 to 12Mar 8, 2024 to Mar 28, 2024
- HNW clients · 36 to 17Mar 8, 2024 to Mar 28, 2024
- Pooled vehicle clients · 6 to 5Mar 8, 2024 to Mar 28, 2024
- Assets in custody · $6.7B to $5.9BMar 8, 2024 to Mar 28, 2024
- Private funds · 6 to 5Mar 8, 2024 to Mar 28, 2024
- Discretionary RAUM · $6.7B to $5.9BMar 8, 2024 to Mar 28, 2024
- HNW RAUM · $80.4M to $32,268Mar 8, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $6.6B to $5.9BMar 8, 2024 to Mar 28, 2024
- RAUM · $6.7B to $5.9BMar 8, 2024 to Mar 28, 2024
- Pooled vehicle clients · 5 to 6Mar 31, 2023 to Apr 28, 2023
- Accounts · 58 to 56Aug 31, 2022 to Mar 31, 2023
- HNW clients · 38 to 36Aug 31, 2022 to Mar 31, 2023
- Assets in custody · $6.8B to $6.7BAug 31, 2022 to Mar 31, 2023
- Employees · 12 to 14Aug 31, 2022 to Mar 31, 2023
- Private funds · 5 to 6Aug 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.8B to $6.7BAug 31, 2022 to Mar 31, 2023
- HNW RAUM · $80.2M to $80.4MAug 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.7B to $6.6BAug 31, 2022 to Mar 31, 2023
- RAUM · $6.8B to $6.7BAug 31, 2022 to Mar 31, 2023
- Accounts · 60 to 58May 17, 2022 to Aug 31, 2022
- Corporate clients · 1 to 2May 17, 2022 to Aug 31, 2022
Signals
14 dated events
- Lee David Robertson (Trustee) appeared on Schedule A of 1••• I••••••••• L••Mar 8, 2024 · Control person joined · fact
- E. Mark Humphrey (Trustee) no longer on Schedule A of 1••• I••••••••• L•• (listed 2023-12-18, absent 2024-03-08)Mar 8, 2024 · Control person left · inference
- S•••• M••••• (Assistant Treasurer) appeared on Schedule A of 1••• I••••••••• L••Dec 18, 2023 · Control person joined · fact
- Edward Trent May (President / Elected Manager) no longer on Schedule A of 1••• I••••••••• L•• (listed 2022-08-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- J Steven Feilmeier (Elected Manager) no longer on Schedule A of 1••• I••••••••• L•• (listed 2022-08-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Charles Christopher Dries (Elected Manager) appeared on Schedule A of 1••• I••••••••• L••Mar 31, 2023 · Control person joined · fact
- Chase Charles Koch (Elected Manager) appeared on Schedule A of 1••• I••••••••• L••Mar 31, 2023 · Control person joined · fact
- F Julia Koch (Elected Manager) appeared on Schedule A of 1••• I••••••••• L••Mar 31, 2023 · Control person joined · fact
- 1••• I••••••••• L•• reported RAUM $6.8B, down 59% from $16.6B (2022-05-17 to 2022-08-31)Aug 31, 2022 · RAUM change · derived
- J David May (Elected Manager) appeared on Schedule A of 1••• I••••••••• L••Mar 30, 2022 · Control person joined · fact
- J Steven Feilmeier (Elected Manager) appeared on Schedule A of 1••• I••••••••• L••Mar 30, 2022 · Control person joined · fact
- T James Hsiung (Chief Compliance Officer, Secretary And General Counsel) no longer on Schedule A of 1••• I••••••••• L•• (listed 2021-02-08, absent 2021-09-03)Sep 3, 2021 · Control person left · inference
- J. K•••• T••••• (Chief Compliance Officer, Secretary And General Counsel) appeared on Schedule A of 1••• I••••••••• L••Sep 3, 2021 · Control person joined · fact
- 1••• I••••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- 1••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 1•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-201-6099reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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