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.
SEC-registered adviser
Capital Investment Counsel, LLC
Latest filing Mar 30, 2026
First filing on the tape Sep 21, 2023 · 9 filings
SEC status approved since Oct 23, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.3B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Feb 20, 2024$548M then
HNW client RAUM$1.2B as of Mar 30, 2026
Feb 20, 2024$505M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 20, 20242 then
Employees (5.A)8 as of Mar 30, 2026
Feb 20, 20247 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $960,058derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $678M, 319 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$1.2B88%
- State and municipal entities$93.9M6.9%
- Individuals$63.3M4.7%
- Corporations and businesses$5.0M0.4%
- Individual clients
- 146reported
- HNW clients
- 317reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,408reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $678M for 319 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| Declan Robert Lane | Denver, Co | Nov 6, 2023 | 11 y | 0 |
| Christian Kent JohnsonCertified Financial Planner | Denver, Co | Nov 6, 2023 | 42 y | 3 |
| Jake Aldridge JohnsonCertified Financial Planner | Denver, Co | Feb 26, 2024 | 13 y | 0 |
| Stephen John DreilingCertified Financial Planner | Denver, Co | Apr 3, 2024 | 30 y | 3 |
| Alexandria K Adamchak | Denver, Co | Feb 5, 2026 | 18 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
- Stephen John Dreiling from United Capital Financial AdvisorsApr 3, 2024 · RIA to RIA
- Christian Kent Johnson from United Capital Financial AdvisorsNov 6, 2023 · 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
- Jeanne Samantha Cox · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- John Stephen Dreiling · Managing Member, Trustee Of Mrj 2024 Irrevocable Trust, And Trustee Of Jajcontrolsince 08/2024 · owns 25% to 50%
- Kent Christian Johnson · Managing Member, Trustee Of Ssd 2024 Irrevocable Trustcontrolsince 11/2023 · owns 25% to 50%
- Aldridge Jake Johnson · Membercontrolsince 11/2023 · owns 5% to 10%
Entity owners
- Gad 2024 Irrevocable Trust · Ownerdirect · owns 5% to 10%
- Jaj 2024 Irrevocable Trust · Ownerdirect · owns 5% to 10%
- Mrj 2024 Irrevocable Trust · Ownerdirect · owns 5% to 10%
- Ssd 2024 Irrevocable Trust · Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,156 to 1,408Oct 22, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Oct 22, 2025 to Mar 30, 2026
- HNW clients · 194 to 317Oct 22, 2025 to Mar 30, 2026
- Individual clients · 206 to 146Oct 22, 2025 to Mar 30, 2026
- Assets in custody · $887M to $678MOct 22, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 51-100Oct 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.3BOct 22, 2025 to Mar 30, 2026
- HNW RAUM · $893M to $1.2BOct 22, 2025 to Mar 30, 2026
- Individual RAUM · $204M to $63.3MOct 22, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $23.7M to $5.9MOct 22, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BOct 22, 2025 to Mar 30, 2026
- Assets in custody · unset to 886853083.0Mar 14, 2025 to Aug 14, 2025
- Custody of client assets · false to trueMar 14, 2025 to Aug 14, 2025
- Accounts · 744 to 1,156Sep 27, 2024 to Mar 14, 2025
- Advisory employees · 2 to 4Sep 27, 2024 to Mar 14, 2025
- HNW clients · 138 to 194Sep 27, 2024 to Mar 14, 2025
- Individual clients · 49 to 206Sep 27, 2024 to Mar 14, 2025
- Employees · 7 to 8Sep 27, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 26-50Sep 27, 2024 to Mar 14, 2025
- State-registered IARs · 2 to 4Sep 27, 2024 to Mar 14, 2025
- Other offices · 1 to 2Sep 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $544M to $1.2BSep 27, 2024 to Mar 14, 2025
- HNW RAUM · $505M to $893MSep 27, 2024 to Mar 14, 2025
- Individual RAUM · $23.8M to $204MSep 27, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $4.1M to $23.7MSep 27, 2024 to Mar 14, 2025
- RAUM · $548M to $1.2BSep 27, 2024 to Mar 14, 2025
- Accounts · 0 to 744Nov 7, 2023 to Feb 20, 2024
- HNW clients · unset to 138.0Nov 7, 2023 to Feb 20, 2024
- Individual clients · unset to 49.0Nov 7, 2023 to Feb 20, 2024
- Employees · 2 to 7Nov 7, 2023 to Feb 20, 2024
- Discretionary RAUM · $0 to $544MNov 7, 2023 to Feb 20, 2024
- HNW RAUM · unset to 505492242.0Nov 7, 2023 to Feb 20, 2024
- Individual RAUM · unset to 23797092.0Nov 7, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $0 to $4.1MNov 7, 2023 to Feb 20, 2024
- RAUM · $0 to $548MNov 7, 2023 to Feb 20, 2024
- Business name · CEDAR ADVISORS, LLC to CAPITAL INVESTMENT COUNSEL, LLCNov 6, 2023 to Nov 7, 2023
- Legal name · CEDAR ADVISORS, LLC to CAPITAL INVESTMENT COUNSEL, LLCNov 6, 2023 to Nov 7, 2023
- Advisory employees · 1 to 2Sep 21, 2023 to Nov 6, 2023
- Financial planning clients · unset to 0Sep 21, 2023 to Nov 6, 2023
- HQ city · NEW YORK to DENVERSep 21, 2023 to Nov 6, 2023
Signals
7 dated events
- Capital Investment Counsel, Llc reported RAUM $1.2B, up 115% from $548.3M (2024-09-27 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- John Stephen Dreiling (Managing Member, Trustee Of Mrj 2024 Irrevocable Trust, And Trustee Of Jaj 2024 Irrevocable Trust) appeared on Schedule A of Capital Investment Counsel, LlcSep 27, 2024 · Control person joined · fact
- Jeanne Samantha Cox (Chief Compliance Officer) appeared on Schedule A of Capital Investment Counsel, LlcFeb 20, 2024 · Control person joined · fact
- Kent Christian Johnson (Managing Member And Chief Compliance Officer) appeared on Schedule A of Capital Investment Counsel, LlcNov 6, 2023 · Control person joined · fact
- Aldridge Jake Johnson (Managing Member) appeared on Schedule A of Capital Investment Counsel, LlcNov 6, 2023 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of Capital Investment Counsel, Llc (listed 2023-09-21, absent 2023-11-06)Nov 6, 2023 · Control person left · inference
- Cedar Advisors, Llc filed its initial SEC registration (Form ADV)Sep 21, 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
- info@cicwealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 303-381-0200reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/capital-investment-counsel-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cicwealthadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (303) 381-0200reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- cicwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- cicwealthadvisors.com/Teamreportedpublished by the firm, firm site, Sep 17, 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
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026