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
A••• C•••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Apr 8, 2021 · 24 filings
SEC status approved since May 7, 2021
RAUM
$298M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$298M as of Aug 26, 2026
Feb 10, 2022$218M then
HNW client RAUM$167M as of Aug 26, 2026
Feb 10, 2022$217M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Feb 10, 20222 then
Employees (5.A)7 as of Aug 26, 2026
Feb 10, 20223 then
Private funds1 as of Aug 26, 2026
Mar 5, 20251 then
RAUM +18% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 26, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- 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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $22.7M, 1 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)
- 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
- High-net-worth individuals$167M56%
- Corporations and businesses$107M36%
- Pooled investment vehicles$23.6M7.9%
- Individuals$318,8970.1%
- Individual clients
- 4reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.56 fund_share=0.08 institutional_share=0.0 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 |
|---|---|---|---|---|
| J••••• D•••• B••••••••• | Boulder, Co | May 7, 2021 | 19 y | 0 |
| P•••• D••••• J•••• | Darien, Ct | May 12, 2021 | 34 y | 4 |
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
- P•••• D••••• J•••• from G•••••••• P•••••••May 12, 2021 · RIA to a newly registered adviser
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• T•••• F•••• L•• | Hedge Fund | $15.4M | 19 | Mar 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••••• D•••• · Cio, Managing Membercontrolsince 01/2021 · owns 25% to 50%
- J••••• P••••• D••••• · Cco, Managing Membercontrolsince 01/2021 · owns 25% to 50%
- P•••••••• M••••••• W•••• · Membercontrolsince 01/2021 · owns 25% to 50%
- H•••••• M•••••• N•• · Membersince 08/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- T••••••••• M••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Aug 26, 2026RAUM per account of $5,414,502 against a peer median of $439,994 (5431 comparable advisers, 100.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 100% percentile
- wealth to institutional shiftCombination · filing Mar 25, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $252,919,873 to $297,797,612, advisors 2 to 2, private clients 45 to 48, offices 2 to 2 (2025-04-10 to 2026-03-25)peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 25, 2026private-client share of RAUM moved from 73.0% to 56.0% between the annual amendments of 2025-04-10 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 61.0% to 100.0% between the annual amendments of 2025-04-10 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 73.0% to 56.0% between the annual amendments of 2025-04-10 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 25, 2026institutional share of RAUM moved from 18.0% to 36.0% between the annual amendments of 2025-04-10 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Employees · 6 to 7Mar 25, 2026 to Jun 26, 2026
- HQ city · to DARIENMar 25, 2026 to Jun 26, 2026
- HQ state · to CTMar 25, 2026 to Jun 26, 2026
- Accounts · 50 to 55Jun 6, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4Jun 6, 2025 to Mar 25, 2026
- Corporate clients · 3.0 to unsetJun 6, 2025 to Mar 25, 2026
- HNW clients · 36 to 44Jun 6, 2025 to Mar 25, 2026
- Individual clients · 9 to 4Jun 6, 2025 to Mar 25, 2026
- Assets in custody · unset to 22672520.0Jun 6, 2025 to Mar 25, 2026
- Custody of client assets · false to trueJun 6, 2025 to Mar 25, 2026
- Employees · 3 to 6Jun 6, 2025 to Mar 25, 2026
- Discretionary RAUM · $153M to $298MJun 6, 2025 to Mar 25, 2026
- HNW RAUM · $184M to $167MJun 6, 2025 to Mar 25, 2026
- Individual RAUM · $927,285 to $318,897Jun 6, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $99.6M to $0Jun 6, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $21.4M to $23.6MJun 6, 2025 to Mar 25, 2026
- RAUM · $253M to $298MJun 6, 2025 to Mar 25, 2026
- Financial planning clients · unset to Apr 10, 2025 to Jun 6, 2025
- Accounts · 43 to 50Sep 12, 2024 to Mar 5, 2025
- Advisory activities · 1 to 3Sep 12, 2024 to Mar 5, 2025
- Corporate clients · 1 to 3Sep 12, 2024 to Mar 5, 2025
- HNW clients · 37 to 36Sep 12, 2024 to Mar 5, 2025
- Individual clients · unset to 9.0Sep 12, 2024 to Mar 5, 2025
- HQ city · unset to Sep 12, 2024 to Mar 5, 2025
- HQ state · unset to Sep 12, 2024 to Mar 5, 2025
- Discretionary RAUM · $141M to $153MSep 12, 2024 to Mar 5, 2025
- HNW RAUM · $206M to $184MSep 12, 2024 to Mar 5, 2025
- Individual RAUM · $917,088 to $927,285Sep 12, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $105M to $99.6MSep 12, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $15.8M to $21.4MSep 12, 2024 to Mar 5, 2025
- RAUM · $246M to $253MSep 12, 2024 to Mar 5, 2025
- Other offices · 1 to 2Feb 8, 2024 to Mar 25, 2024
- Private funds · unset to 1Feb 8, 2024 to Mar 25, 2024
- Discretionary RAUM · $126M to $141MFeb 8, 2024 to Mar 25, 2024
- Pooled vehicle RAUM · $373,562 to $15.8MFeb 8, 2024 to Mar 25, 2024
- RAUM · $230M to $246MFeb 8, 2024 to Mar 25, 2024
- Accounts · 28 to 43Jan 19, 2023 to Feb 8, 2024
- Advisory employees · 2 to 3Jan 19, 2023 to Feb 8, 2024
- Corporate clients · unset to 1.0Jan 19, 2023 to Feb 8, 2024
- HNW clients · 27 to 37Jan 19, 2023 to Feb 8, 2024
Signals
1 dated events
- A••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 8, 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
- Business email
- hello@a•••.coreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- avos.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (720) 864-4348reportedpublic record, Form ADV, Aug 26, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026