DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T••• O•• W••••• M•••••••••
Legal name F•••• S••••• I••••••••• P•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 19, 2022 · 13 filings
SEC status approved since Sep 19, 2022
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$149M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$51.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$154M as of Mar 20, 2026
Feb 1, 2023$64.9M then
HNW client RAUM$101M as of Mar 20, 2026
Feb 1, 2023$33.0M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Feb 1, 20233 then
Employees (5.A)4 as of Mar 20, 2026
Feb 1, 20234 then
Private funds: no history
RAUM +23% over the last fiscal year+33% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $51.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $334,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +47%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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$101M66%
- Individuals$48.2M31%
- Pension and profit-sharing plans$4.6M3.0%
- Individual clients
- 158reported
- HNW clients
- 60reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 461reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• T••••• J••• | Lone Tree, Co | Oct 10, 2022 | 29 y | 4 |
| K•••• R••••• E••••••Certified Financial Planner | Lone Tree, Co | Nov 28, 2022 | 17 y | 2 |
| G•••••• A•••• D••••• | Lone Tree, Co | Jan 1, 2025 | 13 y | 3 |
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
- G•••••• A•••• D••••• from S••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••• R••••• E•••••• from S••Nov 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- G••••• T••••• J••• from S••Oct 10, 2022 · 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
- D•••••• G••••••• A•••• · Membercontrolsince 07/2022 · owns 50% to 75%
- J•••• G•••••• T••••• · Member, Chief Compliance Officercontrolsince 07/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
- T••• O•• T••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lone Tree, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 48.0% to 66.0% between the annual amendments of 2025-03-31 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 417 to 461Mar 31, 2025 to Mar 20, 2026
- Charity clients · unset to 0.0Mar 31, 2025 to Mar 20, 2026
- Corporate clients · unset to 0.0Mar 31, 2025 to Mar 20, 2026
- HNW clients · 43 to 60Mar 31, 2025 to Mar 20, 2026
- Individual clients · 105 to 158Mar 31, 2025 to Mar 20, 2026
- Pension plan clients · unset to 2.0Mar 31, 2025 to Mar 20, 2026
- Pooled vehicle clients · unset to 0.0Mar 31, 2025 to Mar 20, 2026
- Assets in custody · unset to 6033078.0Mar 31, 2025 to Mar 20, 2026
- Discretionary RAUM · $125M to $154MMar 31, 2025 to Mar 20, 2026
- HNW RAUM · $59.4M to $101MMar 31, 2025 to Mar 20, 2026
- Individual RAUM · $61.1M to $48.2MMar 31, 2025 to Mar 20, 2026
- Pension RAUM · $4.6M to $4.6MMar 31, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2025 to Mar 20, 2026
- RAUM · $125M to $154MMar 31, 2025 to Mar 20, 2026
- Accounts · 353 to 417Nov 19, 2024 to Mar 31, 2025
- HNW clients · 23 to 43Nov 19, 2024 to Mar 31, 2025
- Individual clients · 162 to 105Nov 19, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 1-10Nov 19, 2024 to Mar 31, 2025
- Other offices · 1 to 0Nov 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $92.6M to $125MNov 19, 2024 to Mar 31, 2025
- HNW RAUM · $43.2M to $59.4MNov 19, 2024 to Mar 31, 2025
- Individual RAUM · $49.4M to $61.1MNov 19, 2024 to Mar 31, 2025
- Pension RAUM · unset to 4551043.0Nov 19, 2024 to Mar 31, 2025
- RAUM · $92.6M to $125MNov 19, 2024 to Mar 31, 2025
- Accounts · 262 to 353Mar 15, 2023 to Jan 2, 2024
- HNW clients · 35 to 23Mar 15, 2023 to Jan 2, 2024
- Individual clients · 97 to 162Mar 15, 2023 to Jan 2, 2024
- Discretionary RAUM · $64.9M to $92.6MMar 15, 2023 to Jan 2, 2024
- HNW RAUM · $33.0M to $43.2MMar 15, 2023 to Jan 2, 2024
- Individual RAUM · $26.2M to $49.4MMar 15, 2023 to Jan 2, 2024
- Pension RAUM · 1185000.0 to unsetMar 15, 2023 to Jan 2, 2024
- RAUM · $64.9M to $92.6MMar 15, 2023 to Jan 2, 2024
- Advisory activities · 4 to 5Feb 24, 2023 to Mar 8, 2023
- Accounts · unset to 262.0Aug 19, 2022 to Jan 23, 2023
- Business name · F•••• S••••• I••••••••• P•••••••• L•• to T••• O•• W••••• M•••••••••Aug 19, 2022 to Jan 23, 2023
- HNW clients · unset to 35.0Aug 19, 2022 to Jan 23, 2023
- Individual clients · unset to 97.0Aug 19, 2022 to Jan 23, 2023
- Discretionary RAUM · unset to 64867635.0Aug 19, 2022 to Jan 23, 2023
- HNW RAUM · unset to 32979572.0Aug 19, 2022 to Jan 23, 2023
- Individual RAUM · unset to 26247979.0Aug 19, 2022 to Jan 23, 2023
Signals
1 dated events
- F•••• S••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 19, 2022 · ria f•••• adv filing · 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
- s••••••@t••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- m••••••@t••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k•••••••@t••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-854-9874reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-854-9877reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-854-9878reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 303-858-0000reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- t••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $51.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026