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
I•••••• P•••••• W•••••• L••
Latest filing Mar 13, 2026
First filing on the tape Aug 16, 2021 · 11 filings
SEC status approved since Sep 17, 2021
RAUM
$603M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$598M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$603M as of Mar 13, 2026
Mar 16, 2022$246M then
HNW client RAUM$483M as of Mar 13, 2026
Mar 16, 2022$134M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Mar 16, 20223 then
Employees (5.A)8 as of Mar 13, 2026
Mar 16, 20228 then
Private funds: no history
RAUM +29% over the last fiscal year+28% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 145derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $262,236derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $21.8M, 53 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$483M80%
- Individuals$115M19%
- Pension and profit-sharing plans$1.9M0.3%
- Charitable organizations$1.5M0.2%
- Corporations and businesses$975,8620.2%
- Individual clients
- 347reported
- HNW clients
- 233reported
- Pension plan clients
- 4reported
- Charitable clients
- 3reported
- Accounts
- 2,298reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.8M for 53 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• T••••• S•••••••Certified Financial Planner | Colorado Springs, Co | Sep 30, 2021 | 10 y | 1 |
| M••• R••••• P•••••••Certified Financial Planner | Colorado Springs, Co | Oct 6, 2021 | 17 y | 1 |
| C•••••• B• D•••Certified Financial Planner | Colorado Springs, Co | Jan 1, 2025 | 17 y | 1 |
| C••• B•••• A••••••• | Colorado Springs, Co | Jun 23, 2026 | 16 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••• B•••• A••••••• from K••••• A••••••• S•••••••• L••Jun 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••• B• D••• from N••••••••• M••••• I••••••••• S•••••••••Jan 1, 2025 · Other
- M••• R••••• P••••••• from N••••••••• M••••• I••••••••• S•••••••••Oct 6, 2021 · Other
- G••••••• T••••• S••••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 30, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• C••••••• B• · Managing Membercontrolsince 09/2021 · owns 50% to 75%
- P•••••••• M•••• R••••• · Managing Member & Chief Compliance Officercontrolsince 09/2021 · 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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 49.0% to 80.0% between the annual amendments of 2025-03-25 and 2026-03-13peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,117 to 2,298Nov 19, 2025 to Mar 13, 2026
- Advisory employees · 4 to 3Nov 19, 2025 to Mar 13, 2026
- Charity clients · 2 to 3Nov 19, 2025 to Mar 13, 2026
- Corporate clients · 1 to 3Nov 19, 2025 to Mar 13, 2026
- HNW clients · 95 to 233Nov 19, 2025 to Mar 13, 2026
- Individual clients · 454 to 347Nov 19, 2025 to Mar 13, 2026
- Pension plan clients · unset to 4.0Nov 19, 2025 to Mar 13, 2026
- Assets in custody · $18.0M to $21.8MNov 19, 2025 to Mar 13, 2026
- Financial planning clients · 1-10 to 11-25Nov 19, 2025 to Mar 13, 2026
- State-registered IARs · 4 to 3Nov 19, 2025 to Mar 13, 2026
- Discretionary RAUM · $466M to $582MNov 19, 2025 to Mar 13, 2026
- HNW RAUM · $227M to $483MNov 19, 2025 to Mar 13, 2026
- Individual RAUM · $237M to $115MNov 19, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $1.2M to $20.5MNov 19, 2025 to Mar 13, 2026
- Pension RAUM · unset to 1907597.0Nov 19, 2025 to Mar 13, 2026
- RAUM · $467M to $603MNov 19, 2025 to Mar 13, 2026
- RAUM · $391M to $467MMar 25, 2024 to Mar 25, 2025
- Accounts · 1,956 to 2,117Mar 25, 2024 to Mar 25, 2025
- Advisory employees · 6 to 4Mar 25, 2024 to Mar 25, 2025
- Charity clients · 1 to 2Mar 25, 2024 to Mar 25, 2025
- Corporate clients · 3 to 1Mar 25, 2024 to Mar 25, 2025
- HNW clients · 94 to 95Mar 25, 2024 to Mar 25, 2025
- Individual clients · 437 to 454Mar 25, 2024 to Mar 25, 2025
- Assets in custody · $3.1M to $18.0MMar 25, 2024 to Mar 25, 2025
- Employees · 7 to 8Mar 25, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 25, 2025
- State-registered IARs · 6 to 4Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $377M to $466MMar 25, 2024 to Mar 25, 2025
- HNW RAUM · $186M to $227MMar 25, 2024 to Mar 25, 2025
- Individual RAUM · $204M to $237MMar 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $14.0M to $1.2MMar 25, 2024 to Mar 25, 2025
- Accounts · 1,950 to 1,956Mar 7, 2023 to Mar 25, 2024
- Advisory employees · 3 to 6Mar 7, 2023 to Mar 25, 2024
- Charity clients · unset to 1.0Mar 7, 2023 to Mar 25, 2024
- Corporate clients · unset to 3.0Mar 7, 2023 to Mar 25, 2024
- HNW clients · 101 to 94Mar 7, 2023 to Mar 25, 2024
- Individual clients · 421 to 437Mar 7, 2023 to Mar 25, 2024
- Assets in custody · $7.9M to $3.1MMar 7, 2023 to Mar 25, 2024
- Employees · 8 to 7Mar 7, 2023 to Mar 25, 2024
- Financial planning clients · 11-25 to 1-10Mar 7, 2023 to Mar 25, 2024
Signals
6 dated events
- I•••••• P•••••• W•••••• L•• reported RAUM $602.6M, up 29% from $467.0M (2025-11-19 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- I•••••• P•••••• W•••••• L•• reported RAUM $390.6M, up 36% from $286.4M (2023-03-07 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- W•••••• A•••••••• H••••• (Chief Compliance Officer) no longer on Schedule A of I•••••• P•••••• W•••••• L•• (listed 2021-08-16, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
- Roland Mark Perrault (Managing Member & Chief Compliance Officer) appeared on Schedule A of I•••••• P•••••• W•••••• L••Sep 30, 2021 · Control person joined · fact
- B Charles Dunn (Managing Member) appeared on Schedule A of I•••••• P•••••• W•••••• L••Sep 30, 2021 · Control person joined · fact
- I•••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Aug 16, 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
- team@intergywealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 719-413-8820reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- intergywealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 719-413-8820reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- intergywealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- intergywealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026