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
D•••••••• F••••••••
Legal name D•••••••• F••••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Aug 30, 2024 · 6 filings
SEC status approved since Oct 1, 2024
RAUM
$215M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$215M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$215M as of Jun 29, 2026
Feb 3, 2025$135M then
HNW client RAUM$214M as of Jun 29, 2026
Feb 3, 2025$135M then
State-registered IARs (5.B.3)3 as of Jun 29, 2026
Feb 3, 20253 then
Employees (5.A)3 as of Jun 29, 2026
Feb 3, 20253 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Jun 29, 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
- RAUM per advisor
- $71.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $606,356derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$214M100%
- Individuals$287,0000.1%
- Individual clients
- n/areported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 354reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| E•••• S••••• L••••Certified Financial Planner | Boulder, Co | Jun 9, 2021 | 23 y | 3 |
| T••••• E••••• H•••••Certified Financial Planner | Boulder, Co | Jun 9, 2021 | 10 y | 1 |
| J••• R••••••• | Middleton, Fl | Feb 3, 2025 | 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• S••••• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 9, 2021 · Wirehouse to independent RIA
- T••••• E••••• H••••• from E••••• J••••Jun 9, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• T•••••• E••••• · Partner, Ccocontrolsince 03/2021 · owns 50% to 75%
- L••••• E••••• S••••• · Partnercontrolsince 03/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Boulder, Co | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 19, 2026RAUM (Item 5.F) moved from $135,399,662 to $214,650,000 (+59.0%) between the annual amendments of 2025-02-03 and 2026-02-19; the peer median change was +15.0% (4549 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 319 to 354Sep 22, 2025 to Feb 19, 2026
- HNW clients · 54 to 81Sep 22, 2025 to Feb 19, 2026
- Individual clients · 23.0 to unsetSep 22, 2025 to Feb 19, 2026
- Financial planning clients · 26-50 to 11-25Sep 22, 2025 to Feb 19, 2026
- Discretionary RAUM · $189M to $212MSep 22, 2025 to Feb 19, 2026
- HNW RAUM · $191M to $214MSep 22, 2025 to Feb 19, 2026
- Individual RAUM · $250,000 to $287,000Sep 22, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $2.5M to $2.8MSep 22, 2025 to Feb 19, 2026
- RAUM · $192M to $215MSep 22, 2025 to Feb 19, 2026
- Accounts · 284 to 319Feb 3, 2025 to Sep 22, 2025
- Advisory activities · 2 to 3Feb 3, 2025 to Sep 22, 2025
- HNW clients · 51 to 54Feb 3, 2025 to Sep 22, 2025
- Individual clients · 11 to 23Feb 3, 2025 to Sep 22, 2025
- Other offices · 1 to 2Feb 3, 2025 to Sep 22, 2025
- Discretionary RAUM · $135M to $189MFeb 3, 2025 to Sep 22, 2025
- HNW RAUM · $135M to $191MFeb 3, 2025 to Sep 22, 2025
- Individual RAUM · $182,040 to $250,000Feb 3, 2025 to Sep 22, 2025
- Non-discretionary RAUM · $0 to $2.5MFeb 3, 2025 to Sep 22, 2025
- RAUM · $135M to $192MFeb 3, 2025 to Sep 22, 2025
- Accounts · 59 to 284Sep 10, 2024 to Feb 3, 2025
- Advisory employees · 2 to 3Sep 10, 2024 to Feb 3, 2025
- Individual clients · 8 to 11Sep 10, 2024 to Feb 3, 2025
- Financial planning clients · 26-50 to 26-50Sep 10, 2024 to Feb 3, 2025
- HQ city · unset to Sep 10, 2024 to Feb 3, 2025
- HQ state · unset to Sep 10, 2024 to Feb 3, 2025
- State-registered IARs · 2 to 3Sep 10, 2024 to Feb 3, 2025
- Discretionary RAUM · $101M to $135MSep 10, 2024 to Feb 3, 2025
- HNW RAUM · $101M to $135MSep 10, 2024 to Feb 3, 2025
- Individual RAUM · $2.0M to $182,040Sep 10, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $2.0M to $0Sep 10, 2024 to Feb 3, 2025
- RAUM · $103M to $135MSep 10, 2024 to Feb 3, 2025
Signals
1 dated events
- D•••••••• F•••••••• filed its initial SEC registration (Form ADV)Aug 30, 2024 · 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
- i•••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-515-0564reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/downshift-financialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (720) 515-0564reportedpublic record, Form ADV, Jun 29, 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
- $71.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026