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.
Former SEC-registered adviser
Better Pockets Financial
Legal name Better Pockets Financial LLC
Latest filing May 5, 2026
First filing on the tape May 5, 2026 · 1 filings
RAUM
$8.3M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
88%
$7.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
- RAUM per advisor
- $1.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $99,321derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $7.3MreportedItem 5.I
- 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
- Individuals$7.4M88%
- Pension and profit-sharing plans$971,69312%
- Individual clients
- 36reported
- HNW clients
- n/areported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $7.3M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joshua Wade Newell | Fort Collins, Co | Jan 3, 2022 | 12 y | 1 |
| Clinton Harley Edgar | Parker, Co | Jan 3, 2022 | 18 y | 2 |
| James Ollie Suttles | Wylie, Tx | Feb 21, 2023 | 13 y | 0 |
| Sarah Kay Lassberg | Fort Collins, Co | Jul 17, 2024 | 10 y | 0 |
Advisor movement
Left, latest
none on the tape
Joined, latest
- Clinton Harley Edgar from Oneamerica Securities, Inc.Jan 3, 2022 · Affiliated broker-dealer or bank to a state-registered adviser
- Joshua Wade Newell from Oneamerica Securities, Inc.Jan 3, 2022 · Affiliated broker-dealer or bank to a state-registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Oneamerica Securities, Inc.Nov 17, 2021 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Fort Collins, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/better-pockets-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- betterpocketsfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9707161233reportedpublic record, Form ADV, May 5, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026