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
Altitude Capital Management LLC
Latest filing Mar 16, 2026
First filing on the tape Dec 1, 2023 · 18 filings
SEC status approved since Jan 2, 2024
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
28
26 advisory (5.B.1)
Offices
27
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$104M as of Mar 16, 2026
Jan 27, 2025$0 then
HNW client RAUM$22.4M as of Mar 16, 2026
Mar 19, 2025$25.1M then
State-registered IARs (5.B.3)26 as of Mar 16, 2026
Jan 27, 20253 then
Employees (5.A)28 as of Mar 16, 2026
Jan 27, 20255 then
Private funds: no history
RAUM +110% over the last fiscal yearIARs 16 to 26offices 15 to 27
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $3.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $175,000derivedHNW RAUM over HNW clients
- Average account
- $212,295derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.2derived28 offices incl. principal (1.F.5)
- RAUM growth, one year
- +110%derivedbetween the last two annual amendments
- Advisor growth, one year
- +63%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- Individuals$81.2M78%
- High-net-worth individuals$22.4M22%
- Individual clients
- 360reported
- HNW clients
- 128reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 488reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
33 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Constance Nathelma Craig-Mason | York, Pa | Jan 18, 2024 | 10 y | 3 |
| Sherwood Allison Barbour | Raleigh, Nc | Jan 23, 2024 | 26 y | 6 |
| John Eugene PerezCertified Financial Planner | Houston, Tx | Mar 7, 2024 | 26 y | 12 |
| Matthew David Anderson | Des Moines, Ia | Mar 8, 2024 | 31 y | 5 |
| Bruce D Macomber | Freeport, Me | Mar 13, 2024 | 17 y | 1 |
| Dennis James Snoozy | Mesa, Az | Jun 11, 2024 | 33 y | 3 |
| Regina Cornelio | Johnson City, Tn | Oct 16, 2024 | 12 y | 0 |
| Matthew John Fitzgerald | Des Moines, Ia | Oct 18, 2024 | 21 y | 1 |
| Charles Eric Greth | Tacoma, Wa | Oct 24, 2024 | 41 y | 6 |
| Matthew Austin Glass | Des Moines, Ia | Jan 2, 2025 | 16 y | 1 |
| David Allen Shilling | Des Moines, Ia | Jan 3, 2025 | 11 y | 1 |
| Thomas Clark | Des Moines, Ia | Jan 16, 2025 | 18 y | 0 |
| Aaron C Barnes | Des Moines, Ia | Jan 24, 2025 | 11 y | 0 |
| Daniel Mark Saccal | Des Moines, Ia | Mar 4, 2025 | 25 y | 6 |
| Mark Frederick Collier | Des Moines, Ia | May 27, 2025 | 10 y | 2 |
| Stephen Mcgoff | Des Moines, Ia | Jul 9, 2025 | 18 y | 6 |
| Michael L Groomes | Des Moines, Ia | Jul 15, 2025 | 39 y | 1 |
| Anthony J Mascherino | King Of Prussia, Pa | Aug 4, 2025 | 10 y | 1 |
| Donald G Tuttle | Des Moines, Ia | Aug 12, 2025 | 16 y | 0 |
| Eric Leonard Sjolund | Villas, Nj | Aug 15, 2025 | 43 y | 4 |
| Adrian N Raney | Des Moines, Ia | Dec 8, 2025 | 10 y | 3 |
| Michael John CooleyChartered Financial Consultant | Saline, Mi | Jan 1, 2026 | 16 y | 3 |
| Daniel Alan Natoli | Naples , Fl | Jan 9, 2026 | 10 y | 2 |
| Andre Obrian Harrielal | Des Moines, Ia | Jan 12, 2026 | 26 y | 6 |
| Harry Redmond Greene | Warrenville, Il | Mar 11, 2026 | 35 y | 4 |
| James David Rhodes | Des Moines, Ia | Mar 11, 2026 | 10 y | 0 |
| William Averkamp | Des Moines, Ia | May 7, 2026 | 14 y | 0 |
| Zachary Thomas Benge | Des Moines, Ia | May 28, 2026 | 10 y | 0 |
| Ashton John Guiltinan | Burien, Wa | Jun 5, 2026 | 12 y | 1 |
| James Bradford Heninger | Des Moines, Ia | Jun 8, 2026 | 32 y | 0 |
| Eric N Schoonover | Des Moines, Ia | Jun 24, 2026 | 15 y | 5 |
| Nickolas J. Turner | Marysville, Oh | Jun 24, 2026 | 22 y | 5 |
| Clint Travis Dubose | Des Moines, Ia | Jun 29, 2026 | 20 y | 0 |
Advisor movement
2 left, 9 joined in 12 months
net +7 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 6.1% of current headcount2 left over 36 months
Left, latest
- Gregory Scott Shuman to On Investment Management CoAug 19, 2026 · RIA to affiliated broker-dealer or bank
- Michael J Corrales to Oneamerica Securities, Inc.Dec 5, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Nickolas J. Turner from Huntington Financial AdvisorsJun 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- Eric N Schoonover from Secure Investment Management, LLCJun 24, 2026 · RIA to RIA
- Ashton John Guiltinan from Key Investment Services LLCJun 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Harry Redmond Greene from Brookstone Wealth Advisors, LLCMar 11, 2026 · Other
- Andre Obrian Harrielal from Brookstone Wealth Advisors, LLCJan 12, 2026 · Other
- Daniel Alan Natoli from Creative Resources Investment Advisors LLCJan 9, 2026 · Other
- Michael John Cooley from Forthright CapitalJan 1, 2026 · RIA to RIA
- Adrian N Raney from Pruco Securities, LLCDec 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gregory Scott Shuman from Ameriprise Financial Services, LLCSep 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- Eric Leonard Sjolund from Sjolund Financial ServicesAug 15, 2025 · Other
- Anthony J Mascherino from Thrive Capital Management, LLCAug 4, 2025 · RIA to RIA
- Michael L Groomes from Pruco Securities, LLCJul 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Stephen Mcgoff from Wells Fargo AdvisorsJul 9, 2025 · Wirehouse to independent RIA
- Mark Frederick Collier from LPL Enterprise, LLCMay 27, 2025 · Other
- Daniel Mark Saccal from Wealth Watch Advisors, IncMar 4, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E Charles Johnson · Managing Member / Ccocontrolsince 01/2024 · owns 25% to 50%
- James Dennis Snoozy · Managing Membercontrolsince 01/2024 · owns 10% to 25%
- Nolan Mitchell Whitney · Managing Membercontrolsince 01/2024 · 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 |
|---|---|---|---|---|---|
| Des Moines, Ia · principal | 33 | 13 | 0 | ||
| Houston, Tx | 2 | 1 | 0 | ||
| Lafayette, La | 0 | 0 | 1 | ||
| Norman, Ok | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Freeport, ME1 employees
- Johnson City, TN1 employees
- Raleigh, NC1 employees
- St. Charles, IL1 employees
- Tacoma, WA1 employees
- York, PA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 16, 2026advisory representatives (Item 5.B.3) moved from 16.0 to 26.0 (+63.0%) between the annual amendments of 2025-03-19 and 2026-03-16; the peer median change was 0.0% (965 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 99% percentile
- client count surgeChange between filings · filing Mar 16, 2026individual and HNW clients (Item 5.D) moved from 295.0 to 488.0 (+65.0%) between the annual amendments of 2025-03-19 and 2026-03-16; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
- employee count surgeChange between filings · filing Mar 16, 2026employees (Item 5.A) moved from 17.0 to 28.0 (+65.0%) between the annual amendments of 2025-03-19 and 2026-03-16; the peer median change was 0.0% (507 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 99% percentile
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 51.0% to 22.0% between the annual amendments of 2025-03-19 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
- office count surgeChange between filings · filing Mar 16, 2026offices other than the principal office (Item 1.F.5) moved from 15.0 to 27.0 (+80.0%) between the annual amendments of 2025-03-19 and 2026-03-16; the peer median change was 0.0% (450 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 672 to 488Sep 26, 2025 to Mar 16, 2026
- Advisory employees · 16 to 26Sep 26, 2025 to Mar 16, 2026
- HNW clients · 101 to 128Sep 26, 2025 to Mar 16, 2026
- Individual clients · 194 to 360Sep 26, 2025 to Mar 16, 2026
- Employees · 17 to 28Sep 26, 2025 to Mar 16, 2026
- State-registered IARs · 16 to 26Sep 26, 2025 to Mar 16, 2026
- Other offices · 18 to 27Sep 26, 2025 to Mar 16, 2026
- Discretionary RAUM · $49.4M to $104MSep 26, 2025 to Mar 16, 2026
- HNW RAUM · $25.1M to $22.4MSep 26, 2025 to Mar 16, 2026
- Individual RAUM · $24.3M to $81.2MSep 26, 2025 to Mar 16, 2026
- RAUM · $49.4M to $104MSep 26, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Aug 12, 2025 to Sep 26, 2025
- Other offices · 16 to 18Jul 21, 2025 to Aug 12, 2025
- Other offices · 15 to 16Jun 10, 2025 to Jul 21, 2025
- Accounts · 0 to 672Jan 27, 2025 to Mar 19, 2025
- Advisory employees · 3 to 16Jan 27, 2025 to Mar 19, 2025
- HNW clients · unset to 101.0Jan 27, 2025 to Mar 19, 2025
- Individual clients · unset to 194.0Jan 27, 2025 to Mar 19, 2025
- Employees · 5 to 17Jan 27, 2025 to Mar 19, 2025
- State-registered IARs · 3 to 16Jan 27, 2025 to Mar 19, 2025
- Other offices · 6 to 15Jan 27, 2025 to Mar 19, 2025
- Discretionary RAUM · $0 to $49.4MJan 27, 2025 to Mar 19, 2025
- HNW RAUM · unset to 25100000.0Jan 27, 2025 to Mar 19, 2025
- Individual RAUM · unset to 24300000.0Jan 27, 2025 to Mar 19, 2025
- RAUM · $0 to $49.4MJan 27, 2025 to Mar 19, 2025
- Other offices · 3 to 6Oct 17, 2024 to Oct 22, 2024
- Advisory employees · 1 to 3Jan 11, 2024 to Jan 23, 2024
- Employees · 3 to 5Jan 11, 2024 to Jan 23, 2024
- State-registered IARs · 1 to 3Jan 11, 2024 to Jan 23, 2024
- Other offices · 1 to 3Jan 23, 2024 to Jan 23, 2024
- Other offices · 0 to 1Dec 1, 2023 to Jan 11, 2024
Signals
7 dated events
- Gregory Scott Shuman left Altitude Capital Management Llc for On Investment Management Co (registered 2026-08-12)Aug 19, 2026 · Advisor changed firm · fact
- Altitude Capital Management Llc reported 27 offices beyond its principal office, up from 18 (2025-09-26 to 2026-03-16)Mar 16, 2026 · Office count change · derived
- Altitude Capital Management Llc reported 26 state-registered advisory representatives, up from 16 (2025-09-26 to 2026-03-16)Mar 16, 2026 · Advisor headcount change · derived
- Michael J Corrales left Altitude Capital Management Llc for Oneamerica Securities, Inc. (registered 2025-12-21)Dec 5, 2025 · Advisor changed firm · fact
- Altitude Capital Management Llc reported 16 state-registered advisory representatives, up from 3 (2025-01-27 to 2025-03-19)Mar 19, 2025 · Advisor headcount change · derived
- Altitude Capital Management Llc reported 15 offices beyond its principal office, up from 6 (2025-01-27 to 2025-03-19)Mar 19, 2025 · Office count change · derived
- Altitude Capital Management Llc filed its initial SEC registration (Form ADV)Dec 1, 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@sage.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 423-444-6388reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 555-555-5555reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sage.financialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-207-3310reportedpublic record, Form ADV, Mar 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
- $3.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026