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
A•••• C•••••• W••••• M•••••••••
Legal name A•••• C•••••• W••••• M••••••••• L••
Latest filing Mar 22, 2024
First filing on the tape May 28, 2021 · 9 filings
SEC status approved since Jun 25, 2021
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$133M as of Mar 22, 2024
Feb 24, 2022$114M then
HNW client RAUM$65.0M as of Mar 22, 2024
Feb 24, 2022$40.0M then
State-registered IARs (5.B.3)0 as of Mar 22, 2024
Feb 24, 20222 then
Employees (5.A)5 as of Mar 22, 2024
Feb 24, 20225 then
Private funds: no history
RAUM +8.5% over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of Mar 22, 2024; 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
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $202,299derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$65.0M49%
- Individuals$41.8M31%
- State and municipal entities$22.3M17%
- Pension and profit-sharing plans$3.1M2.3%
- Charitable organizations$587,2750.4%
- Individual clients
- 253reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- A••• K••••• C•••••• to C•••••Feb 5, 2025 · RIA to RIA
- J••• A••• M••••• to C•••••Feb 5, 2025 · RIA to RIA
Joined, latest
- A••• K••••• C•••••• from E•••••••• A•••••••• L••Jul 7, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• A••• M••••• from E•••••••• A•••••••• L••Jul 7, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••• K••••• · Managing Membercontrolsince 05/2021 · owns 25% to 50%
- M•••••• J•••• A••• · Cco/ Managing Membercontrolsince 05/2021 · 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 |
|---|---|---|---|---|---|
| Burley, Id | 0 | 0 | 0 | ||
| Grand Junction, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Burley, ID1 employees
- Hotchkiss, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 605 to 656Jul 26, 2023 to Mar 22, 2024
- Charity clients · 2.0 to unsetJul 26, 2023 to Mar 22, 2024
- HNW clients · 110 to 46Jul 26, 2023 to Mar 22, 2024
- Individual clients · 176 to 253Jul 26, 2023 to Mar 22, 2024
- State-registered IARs · 2 to 0Jul 26, 2023 to Mar 22, 2024
- Discretionary RAUM · $122M to $133MJul 26, 2023 to Mar 22, 2024
- HNW RAUM · $71.7M to $65.0MJul 26, 2023 to Mar 22, 2024
- Individual RAUM · $29.9M to $41.8MJul 26, 2023 to Mar 22, 2024
- Pension RAUM · unset to 3050920.0Jul 26, 2023 to Mar 22, 2024
- RAUM · $122M to $133MJul 26, 2023 to Mar 22, 2024
- Advisory activities · 4 to 5Mar 14, 2023 to Jul 26, 2023
- Accounts · 418 to 605Nov 8, 2022 to Mar 14, 2023
- Charity clients · unset to 2.0Nov 8, 2022 to Mar 14, 2023
- HNW clients · 24 to 110Nov 8, 2022 to Mar 14, 2023
- Individual clients · 193 to 176Nov 8, 2022 to Mar 14, 2023
- Discretionary RAUM · $106M to $122MNov 8, 2022 to Mar 14, 2023
- HNW RAUM · $40.0M to $71.7MNov 8, 2022 to Mar 14, 2023
- Individual RAUM · $53.1M to $29.9MNov 8, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $8.0M to $0Nov 8, 2022 to Mar 14, 2023
- RAUM · $114M to $122MNov 8, 2022 to Mar 14, 2023
- Accounts · 432 to 418Jan 5, 2022 to Feb 24, 2022
- Corporate clients · 1.0 to unsetJan 5, 2022 to Feb 24, 2022
- HNW clients · 12 to 24Jan 5, 2022 to Feb 24, 2022
- Individual clients · 211 to 193Jan 5, 2022 to Feb 24, 2022
- Employees · 2 to 5Jan 5, 2022 to Feb 24, 2022
- Discretionary RAUM · $100M to $106MJan 5, 2022 to Feb 24, 2022
- HNW RAUM · $18.4M to $40.0MJan 5, 2022 to Feb 24, 2022
- Individual RAUM · $67.7M to $53.1MJan 5, 2022 to Feb 24, 2022
- Non-discretionary RAUM · $8.5M to $8.0MJan 5, 2022 to Feb 24, 2022
- RAUM · $109M to $114MJan 5, 2022 to Feb 24, 2022
- Accounts · 367 to 432Oct 21, 2021 to Dec 21, 2021
- Charity clients · 1.0 to unsetOct 21, 2021 to Dec 21, 2021
- Corporate clients · unset to 1.0Oct 21, 2021 to Dec 21, 2021
- HNW clients · 10 to 12Oct 21, 2021 to Dec 21, 2021
- Individual clients · 355 to 211Oct 21, 2021 to Dec 21, 2021
- Discretionary RAUM · $88.8M to $100MOct 21, 2021 to Dec 21, 2021
- HNW RAUM · $15.8M to $18.4MOct 21, 2021 to Dec 21, 2021
- Individual RAUM · $61.5M to $67.7MOct 21, 2021 to Dec 21, 2021
- Non-discretionary RAUM · $0 to $8.5MOct 21, 2021 to Dec 21, 2021
- RAUM · $88.8M to $109MOct 21, 2021 to Dec 21, 2021
Signals
4 dated events
- A•••• C•••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $132.7M)Mar 6, 2025 · Left the SEC roster · derived
- A••• K••••• C•••••• left A•••• C•••••• W••••• M••••••••• for Cedrus (registered 2024-08-21)Feb 5, 2025 · Advisor changed firm · fact
- J••• A••• M••••• left A•••• C•••••• W••••• M••••••••• for Cedrus (registered 2024-08-21)Feb 5, 2025 · Advisor changed firm · fact
- A•••• C•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 28, 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.
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