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
R••••• C•••••• S•••••••••
Legal name R••••• E•••••••••
Latest filing Jun 8, 2026
First filing on the tape Mar 20, 2025 · 8 filings
SEC status approved since Mar 6, 2025
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$160M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$28.1M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$169M as of Jun 8, 2026
Mar 20, 2025$0 then
HNW client RAUM$91.1M as of Jun 8, 2026
Jun 19, 2025$62.3M then
State-registered IARs (5.B.3)6 as of Jun 8, 2026
Mar 20, 20252 then
Employees (5.A)6 as of Jun 8, 2026
Mar 20, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 6offices 0 to 3
Practice profile
derived from the filing of Jun 8, 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
- RAUM per advisor
- $28.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $177,581derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 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, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $10.0M, 20 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$91.1M54%
- Individuals$69.1M41%
- Pension and profit-sharing plans$8.7M5.2%
- Individual clients
- 291reported
- HNW clients
- 38reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 951reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.0M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A••••• R•••••Certified Financial Planner | Englewood, Co | Mar 7, 2025 | 17 y | 6 |
| C•••••••• J••••• W•••Certified Financial Planner | Englewood, Co | Mar 12, 2025 | 17 y | 4 |
| J•••• S•••• C•••••••Certified Financial Planner | Myrtle Beach, Sc | May 19, 2025 | 11 y | 2 |
| R•••••• S•••••• D••••••••• | Erie, Pa | Jun 9, 2025 | 10 y | 4 |
| E•••• J•• D•••••••••Certified Financial Planner | Englewood, Co | Sep 21, 2025 | 11 y | 0 |
| N••• J•••• C•••••••Certified Financial Planner | Englewood, Co | Nov 18, 2025 | 26 y | 6 |
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
- N••• J•••• C••••••• from K••• W••••• A•••••••Nov 18, 2025 · RIA to RIA
- R•••••• S•••••• D••••••••• from R•••••••Jun 9, 2025 · RIA to a newly registered adviser
- J•••• S•••• C••••••• from L•• E••••••••• L••May 19, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••••• J••••• W••• from R•••••••Mar 12, 2025 · RIA to a newly registered adviser
- J••••• A••••• R••••• from A•••••••• F••••••••Mar 7, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• J•••••• A••••• · Managing Member/Ccocontrolsince 02/2025 · owns 50% to 75%
- W•••• C••••••••• J••••• · Managing Membercontrolsince 03/2025 · 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 |
|---|---|---|---|---|---|
| Englewood, Co · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 782 to 951Mar 30, 2026 to Jun 8, 2026
- HNW clients · 33 to 38Mar 30, 2026 to Jun 8, 2026
- Individual clients · 230 to 291Mar 30, 2026 to Jun 8, 2026
- Pension plan clients · 4 to 5Mar 30, 2026 to Jun 8, 2026
- Assets in custody · $5.0M to $10.0MMar 30, 2026 to Jun 8, 2026
- Discretionary RAUM · $130M to $169MMar 30, 2026 to Jun 8, 2026
- HNW RAUM · $65.4M to $91.1MMar 30, 2026 to Jun 8, 2026
- Individual RAUM · $41.4M to $69.1MMar 30, 2026 to Jun 8, 2026
- Pension RAUM · $8.6M to $8.7MMar 30, 2026 to Jun 8, 2026
- RAUM · $130M to $169MMar 30, 2026 to Jun 8, 2026
- Accounts · 578 to 782Nov 18, 2025 to Mar 30, 2026
- HNW clients · 36 to 33Nov 18, 2025 to Mar 30, 2026
- Individual clients · 158 to 230Nov 18, 2025 to Mar 30, 2026
- Pension plan clients · 5 to 4Nov 18, 2025 to Mar 30, 2026
- Assets in custody · unset to 5000000.0Nov 18, 2025 to Mar 30, 2026
- Custody of client assets · false to trueNov 18, 2025 to Mar 30, 2026
- HQ city · DENVER to ENGLEWOODNov 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $104M to $130MNov 18, 2025 to Mar 30, 2026
- HNW RAUM · $62.3M to $65.4MNov 18, 2025 to Mar 30, 2026
- Individual RAUM · $28.6M to $41.4MNov 18, 2025 to Mar 30, 2026
- Pension RAUM · $9.6M to $8.6MNov 18, 2025 to Mar 30, 2026
- RAUM · $104M to $130MNov 18, 2025 to Mar 30, 2026
- Advisory employees · 4 to 6Aug 15, 2025 to Nov 18, 2025
- Employees · 4 to 6Aug 15, 2025 to Nov 18, 2025
- Financial planning clients · 0 to 0Aug 15, 2025 to Nov 18, 2025
- State-registered IARs · 4 to 6Aug 15, 2025 to Nov 18, 2025
- Other offices · 2 to 3Aug 15, 2025 to Nov 18, 2025
- Accounts · 0 to 578May 19, 2025 to Jun 19, 2025
- Advisory employees · 3 to 4May 19, 2025 to Jun 19, 2025
- HNW clients · unset to 36.0May 19, 2025 to Jun 19, 2025
- Individual clients · unset to 158.0May 19, 2025 to Jun 19, 2025
- Pension plan clients · unset to 5.0May 19, 2025 to Jun 19, 2025
- Employees · 3 to 4May 19, 2025 to Jun 19, 2025
- State-registered IARs · 3 to 4May 19, 2025 to Jun 19, 2025
- Other offices · 1 to 2May 19, 2025 to Jun 19, 2025
- Discretionary RAUM · $0 to $104MMay 19, 2025 to Jun 19, 2025
- HNW RAUM · unset to 62314549.0May 19, 2025 to Jun 19, 2025
- Individual RAUM · unset to 28610250.0May 19, 2025 to Jun 19, 2025
- Pension RAUM · unset to 9643117.0May 19, 2025 to Jun 19, 2025
- RAUM · $0 to $104MMay 19, 2025 to Jun 19, 2025
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
- Business email
- info@rigdencapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-351-2356reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rigdencapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rigdencapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-351-1618reportedpublic record, Form ADV, Jun 8, 2026
- Contact form
- rigdencapital.com/contactreportedpublished 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
- $28.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026