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
O••••••••• F•••••••• A•••••••
Legal name O••••••••• F•••••••• A•••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Oct 21, 2022 · 10 filings
SEC status approved since Nov 21, 2022
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$208M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$208M as of Mar 3, 2026
Feb 27, 2023$143M then
HNW client RAUM$187M as of Mar 3, 2026
Feb 27, 2023$120M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 27, 20232 then
Employees (5.A)3 as of Mar 3, 2026
Feb 27, 20233 then
Private funds: no history
RAUM +22% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $851,089derivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $36.7M, 24 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$187M90%
- Individuals$20.3M9.8%
- Individual clients
- 62reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 244reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.7M for 24 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B• G•••••• A••••• P•••Certified Financial Planner, Chartered Financial Analyst | Avon, Co | Nov 23, 2022 | 23 y | 1 |
| L••••• M•••• S•••••••Certified Financial Planner | Denver, Co | Dec 15, 2022 | 36 y | 1 |
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
- L••••• M•••• S••••••• from N•• A•••••••• A• D••••••• O• N•• F•••••••• C•••••••••Dec 15, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- B• G•••••• A••••• P••• from N•• A•••••••• A• D••••••• O• N•• F•••••••• C•••••••••Nov 23, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•• A•••••••• A• D••••••• O• N•• F•••••••• C•••••••••Dec 31, 2022 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• B•• G•••••• A••••• · Ccocontrolsince 10/2022 · owns less than 5%
- P•••• B•• G•••••• A••••• · Ownercontrolsince 10/2022 · owns 75% or more of O••••••••• F••••••••• L••
- S•••••••• L•••••• M•••• · Ownercontrolsince 10/2022 · owns 75% or more of N••• L••
Entity owners
- N••• L•• · Ownerdirect · owns 25% to 50%
- O••••••••• F••••••••• L•• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Avon, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 232 to 244Dec 11, 2025 to Mar 3, 2026
- HNW clients · 43 to 49Dec 11, 2025 to Mar 3, 2026
- Assets in custody · $127M to $36.7MDec 11, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 1-10Dec 11, 2025 to Mar 3, 2026
- Discretionary RAUM · $170M to $208MDec 11, 2025 to Mar 3, 2026
- HNW RAUM · $149M to $187MDec 11, 2025 to Mar 3, 2026
- Individual RAUM · $21.7M to $20.3MDec 11, 2025 to Mar 3, 2026
- RAUM · $170M to $208MDec 11, 2025 to Mar 3, 2026
- Accounts · 213 to 232Jun 28, 2024 to Mar 13, 2025
- HNW clients · 41 to 43Jun 28, 2024 to Mar 13, 2025
- Individual clients · 61 to 62Jun 28, 2024 to Mar 13, 2025
- Assets in custody · $19.5M to $127MJun 28, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Mar 13, 2025
- HQ city · unset to Jun 28, 2024 to Mar 13, 2025
- HQ state · unset to Jun 28, 2024 to Mar 13, 2025
- Discretionary RAUM · $151M to $170MJun 28, 2024 to Mar 13, 2025
- HNW RAUM · $131M to $149MJun 28, 2024 to Mar 13, 2025
- Individual RAUM · $19.7M to $21.7MJun 28, 2024 to Mar 13, 2025
- RAUM · $151M to $170MJun 28, 2024 to Mar 13, 2025
- Assets in custody · $26.8M to $19.5MFeb 23, 2024 to Feb 28, 2024
- Accounts · 255 to 213Mar 6, 2023 to Feb 23, 2024
- Corporate clients · 2.0 to unsetMar 6, 2023 to Feb 23, 2024
- HNW clients · 37 to 41Mar 6, 2023 to Feb 23, 2024
- Individual clients · 71 to 61Mar 6, 2023 to Feb 23, 2024
- Assets in custody · $58.1M to $26.8MMar 6, 2023 to Feb 23, 2024
- Discretionary RAUM · $143M to $151MMar 6, 2023 to Feb 23, 2024
- HNW RAUM · $120M to $131MMar 6, 2023 to Feb 23, 2024
- Individual RAUM · $21.6M to $19.7MMar 6, 2023 to Feb 23, 2024
- RAUM · $143M to $151MMar 6, 2023 to Feb 23, 2024
- Accounts · 0 to 255Oct 21, 2022 to Feb 27, 2023
- Corporate clients · unset to 2.0Oct 21, 2022 to Feb 27, 2023
- HNW clients · unset to 37.0Oct 21, 2022 to Feb 27, 2023
- Individual clients · unset to 71.0Oct 21, 2022 to Feb 27, 2023
- Assets in custody · unset to 58053014.0Oct 21, 2022 to Feb 27, 2023
- Custody of client assets · false to trueOct 21, 2022 to Feb 27, 2023
- Discretionary RAUM · $0 to $143MOct 21, 2022 to Feb 27, 2023
- HNW RAUM · unset to 120099296.0Oct 21, 2022 to Feb 27, 2023
- Individual RAUM · unset to 21626566.0Oct 21, 2022 to Feb 27, 2023
- RAUM · $0 to $143MOct 21, 2022 to Feb 27, 2023
Signals
2 dated events
- 2 advisors left N•• A•••••••• A• D••••••• O• N•• F•••••••• C••••••••• (Denver, CO) for O••••••••• F•••••••• A••••••• on the same dayDec 31, 2022 · Team lift-out · derived
- O••••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Oct 21, 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
- bo@orographicfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-367-2705reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-320-2127reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-323-9944reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- orographicfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7203239944reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- orographicfinancial.com/our-teamreportedpublished 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026