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
S••••••• P••••
Legal name S••••••• P•••• F•••••••• P•••••••• L••
Latest filing Jul 25, 2023
First filing on the tape Jun 4, 2021 · 17 filings
RAUM
$43.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$43.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$14.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$44.4M as of Mar 31, 2023
Feb 25, 2022$125M then
HNW client RAUM$44.4M as of Mar 31, 2023
Feb 25, 2022$125M then
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Feb 25, 20222 then
Employees (5.A)3 as of Mar 31, 2023
Feb 25, 20225 then
Private funds: no history
RAUM -65% over the last fiscal yearIARs 2 to 3offices 5 to 3
Practice profile
derived from the filing of Jul 25, 2023; every figure names its basis
- RAUM per advisor
- $14.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%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 consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$43.4M100%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• D•••••• P•••••Certified Financial Planner, Chartered Financial Consultant | Glenwood Springs, Co | Oct 7, 2021 | 25 y | 1 |
| M••• L••••Chartered Financial Consultant | Phoenix, Az | Oct 18, 2021 | 27 y | 0 |
| S•• A• B••••••• | Sparks, Md | May 6, 2022 | 11 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
- R••• D•••••• P••••• from S•••• F••• I••••••••• M••••••••• C••••Oct 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S••• A• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- P•••••• R•••• D•••••• · President And Ceocontrolsince 04/2021 · owns less than 5%
- P•••••• R•••• D•••••• · Ownercontrolsince 04/2021 · owns 75% or more of H••••••• C•••••• U••• I••
Entity owners
- H••••••• M••••••••• G••••• L•• · Holding Companydirect · owns 75% or more
- H••••••• C•••••• U••• I•• · Ownerindirect · owns 75% or more of H••••••• M••••••••• G••••• L••
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 |
|---|---|---|---|---|---|
| Glenwood Springs, Co | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW RAUM · $44.4M to $43.4MMar 31, 2023 to May 10, 2023
- Non-discretionary RAUM · $44.4M to $43.4MMar 31, 2023 to May 10, 2023
- RAUM · $44.4M to $43.4MMar 31, 2023 to May 10, 2023
- Accounts · 20 to 13Oct 30, 2022 to Mar 31, 2023
- HNW clients · 20 to 13Oct 30, 2022 to Mar 31, 2023
- Financial planning clients · 0 to 11-25Oct 30, 2022 to Mar 31, 2023
- HQ city · DENVER to unsetOct 30, 2022 to Mar 31, 2023
- HQ state · CO to unsetOct 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $125M to $0Oct 30, 2022 to Mar 31, 2023
- HNW RAUM · $125M to $44.4MOct 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $44.4MOct 30, 2022 to Mar 31, 2023
- RAUM · $125M to $44.4MOct 30, 2022 to Mar 31, 2023
- Employees · 5 to 3Jul 1, 2022 to Oct 30, 2022
- State-registered IARs · 2 to 3Jul 1, 2022 to Oct 30, 2022
- Other offices · 5 to 3Jul 1, 2022 to Oct 30, 2022
- Discretionary RAUM · $103M to $125MDec 15, 2021 to Feb 25, 2022
- HNW RAUM · $103M to $125MDec 15, 2021 to Feb 25, 2022
- RAUM · $103M to $125MDec 15, 2021 to Feb 25, 2022
- Accounts · 0 to 20Jun 4, 2021 to Nov 3, 2021
- Advisory employees · 4 to 3Jun 4, 2021 to Nov 3, 2021
- HNW clients · unset to 20.0Jun 4, 2021 to Nov 3, 2021
- Employees · 6 to 5Jun 4, 2021 to Nov 3, 2021
- State-registered IARs · 4 to 2Jun 4, 2021 to Nov 3, 2021
- Other offices · 6 to 5Jun 4, 2021 to Nov 3, 2021
- Discretionary RAUM · $0 to $103MJun 4, 2021 to Nov 3, 2021
- HNW RAUM · $0 to $103MJun 4, 2021 to Nov 3, 2021
- RAUM · $0 to $103MJun 4, 2021 to Nov 3, 2021
Signals
2 dated events
- S•••• E•••• K••• (Coo) no longer on Schedule A of S••••••• P•••• (listed 2022-05-13, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- S••••••• P•••• filed its initial SEC registration (Form ADV)Jun 4, 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
- Website
- sunlightpeaks.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026