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
S••••• T•• A••••••• G••••• I•••
Legal name S••••• T•• A••••••• G••••• I••
Latest filing Mar 15, 2026
First filing on the tape Jan 5, 2022 · 10 filings
SEC status approved since Feb 9, 2022
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$123M as of Mar 15, 2026
Mar 31, 2023$50.1M then
HNW client RAUM: $16.2M
State-registered IARs (5.B.3)4 as of Mar 15, 2026
Mar 31, 20231 then
Employees (5.A)6 as of Mar 15, 2026
Mar 31, 20232 then
Private funds: no history
RAUM +39% over the last fiscal year+35% a year over threeIARs 3 to 4offices 1 to 2
Practice profile
derived from the filing of Mar 15, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $30.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $95,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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
- Individuals$107M87%
- High-net-worth individuals$16.2M13%
- Individual clients
- 797reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,286reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• E••• D•••••• | Casper, Wy | Feb 22, 2024 | 44 y | 1 |
| J••••• C••••• W••••••• | Colorado Springs, Co | Jan 2, 2026 | 16 y | 0 |
| K••••••• A•• L••••••• | Colorado Springs, Co | Jan 2, 2026 | 27 y | 3 |
| A••••• J••••• D•••••••• | Colorado Springs, Co | Jan 7, 2026 | 17 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K••••••• A•• L••••••• from S••••• T•• A••••••• G••••Jan 2, 2026 · Other
- R•••• E••• D•••••• from T••••• A•••• M••••••••• L••Feb 22, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• D•••••• J•••• · Presidentcontrolsince 01/2007 · owns 75% or more
- L•••••••• K•••••••• A•• · Chief Compliance Officersince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• F•••••••• P•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 15, 2026RAUM (Item 5.F) moved from $88,485,973 to $122,781,042 (+39.0%) between the annual amendments of 2025-03-23 and 2026-03-15; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 1,142 to 1,286Mar 23, 2025 to Mar 15, 2026
- Advisory employees · 3 to 4Mar 23, 2025 to Mar 15, 2026
- HNW clients · unset to 5.0Mar 23, 2025 to Mar 15, 2026
- Individual clients · 1,142 to 797Mar 23, 2025 to Mar 15, 2026
- Employees · 4 to 6Mar 23, 2025 to Mar 15, 2026
- State-registered IARs · 3 to 4Mar 23, 2025 to Mar 15, 2026
- Other offices · 1 to 2Mar 23, 2025 to Mar 15, 2026
- Discretionary RAUM · $88.5M to $123MMar 23, 2025 to Mar 15, 2026
- HNW RAUM · unset to 16150696.0Mar 23, 2025 to Mar 15, 2026
- Individual RAUM · $88.5M to $107MMar 23, 2025 to Mar 15, 2026
- RAUM · $88.5M to $123MMar 23, 2025 to Mar 15, 2026
- Accounts · 967 to 1,142Mar 27, 2024 to Mar 23, 2025
- Advisory employees · 1 to 3Mar 27, 2024 to Mar 23, 2025
- Individual clients · 802 to 1,142Mar 27, 2024 to Mar 23, 2025
- Employees · 3 to 4Mar 27, 2024 to Mar 23, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 23, 2025
- State-registered IARs · 1 to 3Mar 27, 2024 to Mar 23, 2025
- Other offices · 0 to 1Mar 27, 2024 to Mar 23, 2025
- Discretionary RAUM · $61.4M to $88.5MMar 27, 2024 to Mar 23, 2025
- Individual RAUM · $61.4M to $88.5MMar 27, 2024 to Mar 23, 2025
- RAUM · $61.4M to $88.5MMar 27, 2024 to Mar 23, 2025
- Accounts · 858 to 967Mar 31, 2023 to Mar 27, 2024
- Individual clients · 551 to 802Mar 31, 2023 to Mar 27, 2024
- Employees · 2 to 3Mar 31, 2023 to Mar 27, 2024
- Insurance-licensed employees · 1 to 0Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $50.1M to $61.4MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $50.1M to $61.4MMar 31, 2023 to Mar 27, 2024
- RAUM · $50.1M to $61.4MMar 31, 2023 to Mar 27, 2024
- Accounts · 913 to 858Jun 28, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Jun 28, 2022 to Mar 31, 2023
- Individual clients · 412 to 551Jun 28, 2022 to Mar 31, 2023
- Commission compensation · false to trueJun 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $43.3M to $50.1MJun 28, 2022 to Mar 31, 2023
- Individual RAUM · $43.3M to $50.1MJun 28, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $58.7M to $0Jun 28, 2022 to Mar 31, 2023
- RAUM · $102M to $50.1MJun 28, 2022 to Mar 31, 2023
- Accounts · 0 to 913Apr 6, 2022 to Jun 16, 2022
- Individual clients · unset to 412.0Apr 6, 2022 to Jun 16, 2022
- Discretionary RAUM · $0 to $43.3MApr 6, 2022 to Jun 16, 2022
- Individual RAUM · unset to 43269097.0Apr 6, 2022 to Jun 16, 2022
Signals
1 dated events
- S••••• T•• A••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jan 5, 2022 · 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
- info@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- kaitlyn@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- mikew@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- stevef@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- rona@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- sharon@springstax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 719-596-4844reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- SPRINGSTAX.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-596-4844reportedpublic record, Form ADV, Mar 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
- $30.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026