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
A•••• C•••• C•••••• L••
Latest filing Jul 6, 2026
First filing on the tape Mar 15, 2023 · 15 filings
SEC status approved since Apr 14, 2023
RAUM
$489M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$474M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$489M as of Jul 6, 2026
Feb 20, 2024$426M then
HNW client RAUM$410M as of Jul 6, 2026
Feb 20, 2024$268M then
State-registered IARs (5.B.3)4 as of Jul 6, 2026
Feb 20, 20243 then
Employees (5.A)5 as of Jul 6, 2026
Feb 20, 20245 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 6 to 4
Practice profile
derived from the filing of Jul 6, 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
- $97.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $235,741derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.9%derivedpensions, 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$410M84%
- Individuals$63.4M13%
- Pension and profit-sharing plans$14.0M2.9%
- Corporations and businesses$778,2530.2%
- Charitable organizations$110,1030.0%
- Individual clients
- 187reported
- HNW clients
- 125reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 2,073reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•• L••••••• | Fort Collins, Co | Apr 14, 2023 | 20 y | 1 |
| S••••• M•• M•••••• | Fort Collins, Co | Aug 17, 2024 | 12 y | 0 |
| V•••••• A•••• H••••••• | Fort Collins, Co | Aug 17, 2024 | 12 y | 0 |
| A••••• R•••• B•••••• | Fort Collins, Co | Mar 4, 2026 | 11 y | 2 |
| D•••• J•••• B••• | Fort Collins, Co | Sep 14, 2026 | 10 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- N••••••• L•• H•••••••• to C•••••••••May 11, 2026 · RIA to RIA
- J••••••••• K•••• K•••• to C•••••••••Jan 28, 2026 · RIA to RIA
Joined, latest
- A••••• R•••• B•••••• from S•••••••• A••••••• L••Mar 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••••••• K•••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 23, 2024 · Wirehouse to independent RIA
- N••••••• L•• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 14, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•• L••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 14, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 18, 2023 · Fort Collins, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• B•• · President & Chief Compliance Officercontrolsince 04/2023 · owns 75% or more
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 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Jan 28, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-02-07 and 2026-01-28; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 1,845 to 2,073Dec 23, 2025 to Jan 28, 2026
- Advisory employees · 6 to 4Dec 23, 2025 to Jan 28, 2026
- Charity clients · 19.0 to unsetDec 23, 2025 to Jan 28, 2026
- Corporate clients · 16.0 to unsetDec 23, 2025 to Jan 28, 2026
- HNW clients · 109 to 125Dec 23, 2025 to Jan 28, 2026
- Individual clients · 192 to 187Dec 23, 2025 to Jan 28, 2026
- Pension plan clients · 45 to 10Dec 23, 2025 to Jan 28, 2026
- Employees · 6 to 5Dec 23, 2025 to Jan 28, 2026
- State-registered IARs · 6 to 4Dec 23, 2025 to Jan 28, 2026
- Discretionary RAUM · $423M to $478MDec 23, 2025 to Jan 28, 2026
- HNW RAUM · $316M to $410MDec 23, 2025 to Jan 28, 2026
- Individual RAUM · $56.3M to $63.4MDec 23, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $3.7M to $10.2MDec 23, 2025 to Jan 28, 2026
- Pension RAUM · $20.6M to $14.0MDec 23, 2025 to Jan 28, 2026
- RAUM · $426M to $489MDec 23, 2025 to Jan 28, 2026
- Accounts · 1,286 to 1,845Jun 4, 2024 to Feb 7, 2025
- Advisory employees · 3 to 6Jun 4, 2024 to Feb 7, 2025
- Charity clients · 16 to 19Jun 4, 2024 to Feb 7, 2025
- Corporate clients · 19 to 16Jun 4, 2024 to Feb 7, 2025
- HNW clients · 88 to 109Jun 4, 2024 to Feb 7, 2025
- Individual clients · 149 to 192Jun 4, 2024 to Feb 7, 2025
- Pension plan clients · 21 to 45Jun 4, 2024 to Feb 7, 2025
- Employees · 5 to 6Jun 4, 2024 to Feb 7, 2025
- Financial planning clients · 101-250 to 101-250Jun 4, 2024 to Feb 7, 2025
- State-registered IARs · 3 to 6Jun 4, 2024 to Feb 7, 2025
- Discretionary RAUM · $401M to $423MJun 4, 2024 to Feb 7, 2025
- HNW RAUM · $263M to $316MJun 4, 2024 to Feb 7, 2025
- Individual RAUM · $49.2M to $56.3MJun 4, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $20.3M to $3.7MJun 4, 2024 to Feb 7, 2025
- Pension RAUM · $25.7M to $20.6MJun 4, 2024 to Feb 7, 2025
- RAUM · $421M to $426MJun 4, 2024 to Feb 7, 2025
- Accounts · 1,404 to 1,286Mar 7, 2024 to Apr 1, 2024
- HNW RAUM · $268M to $263MMar 7, 2024 to Apr 1, 2024
- Non-discretionary RAUM · $25.2M to $20.3MMar 7, 2024 to Apr 1, 2024
- RAUM · $426M to $421MMar 7, 2024 to Apr 1, 2024
- Corporate clients · unset to 19.0Feb 20, 2024 to Mar 7, 2024
- Accounts · 1,338 to 1,404Dec 26, 2023 to Feb 20, 2024
- Charity clients · 12 to 16Dec 26, 2023 to Feb 20, 2024
- HNW clients · 156 to 88Dec 26, 2023 to Feb 20, 2024
- Individual clients · 83 to 149Dec 26, 2023 to Feb 20, 2024
Signals
8 dated events
- D•••• J•••• B••• registered as an investment adviser representative at A•••• C•••• C•••••• L••Sep 14, 2026 · Advisor registered · fact
- N••••••• L•• H•••••••• left A•••• C•••• C•••••• L•• for Cogentblue (registered 2026-05-12)May 11, 2026 · Advisor changed firm · fact
- J••••••••• K•••• K•••• left A•••• C•••• C•••••• L•• for Cogentblue (registered 2026-02-10)Jan 28, 2026 · Advisor changed firm · fact
- A•••• C•••• C•••••• L•• reported RAUM $412.2M, up 45% from $285.1M (2023-08-09 to 2023-12-11)Dec 11, 2023 · RAUM change · derived
- 3 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Fort Collins, CO) for A•••• C•••• C•••••• L•• on the same dayApr 18, 2023 · Team lift-out · derived
- Harrison Taelim Yaste (Chief Compliance Officer) no longer on Schedule A of A•••• C•••• C•••••• L•• (listed 2023-03-15, absent 2023-04-14)Apr 14, 2023 · Control person left · inference
- B•• L••••••• (Managing Director, Chief Executive Officer, & Chief Compliance Officer) appeared on Schedule A of A•••• C•••• C•••••• L••Apr 14, 2023 · Control person joined · fact
- A•••• C•••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2023 · 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 phone
- 970-818-4820reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 970-818-4835reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/91412632/admin/feed/postsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••C••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 970-818-4820reportedpublic record, Form ADV, Jul 6, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026