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
I••••••••• W••••• S•••••••••
Latest filing Mar 31, 2026
First filing on the tape Aug 16, 2023 · 10 filings
SEC status approved since Sep 15, 2023
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$160M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.1M
derived; firm RAUM over IAPD count
Employees
4
3 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$171M as of Mar 31, 2026
Jan 12, 2024$123M then
HNW client RAUM$114M as of Mar 31, 2026
Jan 12, 2024$66.8M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Jan 12, 20242 then
Employees (5.A)4 as of Mar 31, 2026
Jan 12, 20242 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- $57.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $294,771derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, 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
- $3.0M, 1 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$114M67%
- Individuals$46.6M27%
- Corporations and businesses$9.6M5.6%
- Charitable organizations$634,4490.4%
- Pension and profit-sharing plans$499,9790.3%
- Individual clients
- 109reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 581reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| C••••••••• D••••• L•••Certified Financial Planner, Chartered Financial Analyst | Colorado Springs, Co | Sep 29, 2023 | 20 y | 8 |
| R•••••• L•••••• C••••••Certified Financial Planner | Colorado Springs, Co | Sep 29, 2023 | 13 y | 5 |
| B•••• P••••• L•••••••• | Elkridge, Md | Aug 7, 2025 | 11 y | 0 |
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
- R•••••• L•••••• C•••••• from I••••••••• W••••• S•••••••••Sep 29, 2023 · Other
- C••••••••• D••••• L••• from I••••••••• W••••• S•••••••••Sep 29, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••••• W••••• S•••••••••Dec 1, 2023 · Colorado Springs, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••••••• L•••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- C••••••• R••••••• L•••••• · Ownercontrolsince 03/2024 · owns 75% or more of L••••••• I•••
- L•••• C••••••••• D••••• · Ownercontrolsince 03/2024 · owns 75% or more of S••••••••• I•••
Entity owners
- L••••••• I••• · Managing Memberdirect · owns 50% to 75%
- S••••••••• I••• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 573 to 581Jan 28, 2026 to Mar 31, 2026
- Advisory employees · 2 to 3Jan 28, 2026 to Mar 31, 2026
- HNW clients · 48 to 52Jan 28, 2026 to Mar 31, 2026
- Employees · 2 to 4Jan 28, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 3Jan 28, 2026 to Mar 31, 2026
- Discretionary RAUM · $140M to $171MJan 28, 2026 to Mar 31, 2026
- HNW RAUM · $89.9M to $114MJan 28, 2026 to Mar 31, 2026
- Individual RAUM · $39.1M to $46.6MJan 28, 2026 to Mar 31, 2026
- Pension RAUM · $291,444 to $499,979Jan 28, 2026 to Mar 31, 2026
- RAUM · $140M to $171MJan 28, 2026 to Mar 31, 2026
- Other offices · 0 to 1Mar 28, 2025 to Aug 7, 2025
- Accounts · 560 to 573Jan 15, 2025 to Mar 28, 2025
- Charity clients · 2.0 to unsetJan 15, 2025 to Mar 28, 2025
- Corporate clients · 2.0 to unsetJan 15, 2025 to Mar 28, 2025
- HNW clients · 37 to 48Jan 15, 2025 to Mar 28, 2025
- Individual clients · 117 to 109Jan 15, 2025 to Mar 28, 2025
- Pension plan clients · 1.0 to unsetJan 15, 2025 to Mar 28, 2025
- Assets in custody · $2.8M to $3.0MJan 15, 2025 to Mar 28, 2025
- Financial planning clients · 0 to 101-250Jan 15, 2025 to Mar 28, 2025
- Discretionary RAUM · $122M to $140MJan 15, 2025 to Mar 28, 2025
- HNW RAUM · $66.8M to $89.9MJan 15, 2025 to Mar 28, 2025
- Individual RAUM · $46.5M to $39.1MJan 15, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $598,203 to $0Jan 15, 2025 to Mar 28, 2025
- Pension RAUM · $139,310 to $291,444Jan 15, 2025 to Mar 28, 2025
- RAUM · $123M to $140MJan 15, 2025 to Mar 28, 2025
- Legal name · L••• C•••••• W•••••• L•• to I••••••••• W••••• S•••••••••Apr 10, 2024 to Jan 15, 2025
- Succession · true to falseApr 10, 2024 to Jan 15, 2025
- Wrap assets (manager) · 0.0 to unsetApr 10, 2024 to Jan 15, 2025
- Wrap assets (sponsor) · 0.0 to unsetApr 10, 2024 to Jan 15, 2025
- Succession · false to trueFeb 9, 2024 to Apr 10, 2024
- Accounts · 0 to 560Sep 29, 2023 to Jan 12, 2024
- Charity clients · unset to 2.0Sep 29, 2023 to Jan 12, 2024
- Corporate clients · unset to 2.0Sep 29, 2023 to Jan 12, 2024
- HNW clients · unset to 37.0Sep 29, 2023 to Jan 12, 2024
- Individual clients · unset to 117.0Sep 29, 2023 to Jan 12, 2024
- Pension plan clients · unset to 1.0Sep 29, 2023 to Jan 12, 2024
- Pooled vehicle clients · unset to 0.0Sep 29, 2023 to Jan 12, 2024
- Assets in custody · $0 to $2.8MSep 29, 2023 to Jan 12, 2024
- Discretionary RAUM · $0 to $122MSep 29, 2023 to Jan 12, 2024
- HNW RAUM · unset to 66757877.0Sep 29, 2023 to Jan 12, 2024
Signals
3 dated events
- I••••••••• W••••• S••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 10, 2024 · Succession (Item 4) · fact
- 2 advisors left I••••••••• W••••• S••••••••• (Colorado Springs, CO) for I••••••••• W••••• S••••••••• on the same dayDec 1, 2023 · Team lift-out · derived
- L••• C•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 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 email
- a••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j•••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 719-694-8002reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/intentional-wealth-strategiesreportedpublic record, Form ADV, Sep 19, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 719-694-8002reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- i•••••••••.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
- $57.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026