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••••• C•••••• P••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Jan 2, 2024 · 16 filings
SEC status approved since Feb 7, 2024
RAUM
$626M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$612M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$626M as of Mar 3, 2026
Jan 28, 2025$528M then
HNW client RAUM$585M as of Mar 3, 2026
Jan 28, 2025$461M then
State-registered IARs (5.B.3)5 as of Mar 3, 2026
Jan 28, 20255 then
Employees (5.A)5 as of Mar 3, 2026
Jan 28, 20256 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $336,184derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%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 advisers, otherreportedItem 5.G
- Custody
- $43.0M, 105 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$585M94%
- Individuals$26.7M4.3%
- Corporations and businesses$9.5M1.5%
- Charitable organizations$2.7M0.4%
- Pension and profit-sharing plans$1.6M0.3%
- Individual clients
- 53reported
- HNW clients
- 177reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,861reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.0M for 105 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| G••• S•••• | Greenwood Village, Co | Feb 8, 2024 | 22 y | 1 |
| B•••• C••••••••• S••••Certified Financial Planner | Greenwood Village, Co | Feb 8, 2024 | 29 y | 2 |
| J••••••• M•••••• A•••• | Greenwood Village, Co | May 1, 2024 | 20 y | 1 |
| A••• M•••••• H••••Certified Financial Planner | Greenwood Village, Co | May 1, 2024 | 13 y | 2 |
| S•••••• C• G••••• | Greenwood Village, Co | May 1, 2024 | 16 y | 2 |
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
- S•••••• C• G••••• from U•• F•••••••• S••••••• I•••May 1, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••••• M•••••• A•••• from U•• F•••••••• S••••••• I•••May 1, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••• M•••••• H•••• from U•• F•••••••• S••••••• I•••May 1, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• C••••••••• S•••• from U•• F•••••••• S••••••• I•••Feb 8, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••• S•••• from U•• F•••••••• S••••••• I•••Feb 8, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from U•• F•••••••• S••••••• I•••Feb 20, 2024 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• G••• · Co-Chief Executive Officercontrolsince 02/2024 · owns less than 5%
- S••••• B••••• C••••••••• · Co-Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- S••••• G••• · Managing Membercontrolsince 01/2024 · owns 75% or more of T•••••• C•••••• L••
- S••••• B••••• C••••••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of 2• I••••• L••
- J••••••• K••••• E••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Entity owners
- 2• I••••• L•• · Ownerdirect · owns 50% to 75%
- T•••••• C•••••• L•• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 3, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-10-07, yes on the filing of 2026-03-03peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,688 to 1,861Oct 7, 2025 to Mar 3, 2026
- Advisory activities · 5 to 6Oct 7, 2025 to Mar 3, 2026
- HNW clients · 160 to 177Oct 7, 2025 to Mar 3, 2026
- Individual clients · 77 to 53Oct 7, 2025 to Mar 3, 2026
- Assets in custody · $1.3M to $43.0MOct 7, 2025 to Mar 3, 2026
- Employees · 6 to 5Oct 7, 2025 to Mar 3, 2026
- Financial planning clients · 11-25 to 51-100Oct 7, 2025 to Mar 3, 2026
- Discretionary RAUM · $528M to $602MOct 7, 2025 to Mar 3, 2026
- HNW RAUM · $461M to $585MOct 7, 2025 to Mar 3, 2026
- Individual RAUM · $56.5M to $26.7MOct 7, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $23.7MOct 7, 2025 to Mar 3, 2026
- Pension RAUM · unset to 1571719.0Oct 7, 2025 to Mar 3, 2026
- RAUM · $528M to $626MOct 7, 2025 to Mar 3, 2026
- Financial planning clients · 11-25 to 11-25Jan 28, 2025 to May 20, 2025
- Accounts · 1,485 to 1,688Nov 22, 2024 to Jan 28, 2025
- Advisory employees · 2 to 5Nov 22, 2024 to Jan 28, 2025
- HNW clients · 132 to 160Nov 22, 2024 to Jan 28, 2025
- Individual clients · 59 to 77Nov 22, 2024 to Jan 28, 2025
- Assets in custody · unset to 1273675.0Nov 22, 2024 to Jan 28, 2025
- Custody of client assets · false to trueNov 22, 2024 to Jan 28, 2025
- Employees · 5 to 6Nov 22, 2024 to Jan 28, 2025
- Financial planning clients · 0 to 11-25Nov 22, 2024 to Jan 28, 2025
- State-registered IARs · 2 to 5Nov 22, 2024 to Jan 28, 2025
- Discretionary RAUM · $437M to $528MNov 22, 2024 to Jan 28, 2025
- HNW RAUM · $389M to $461MNov 22, 2024 to Jan 28, 2025
- Individual RAUM · $39.9M to $56.5MNov 22, 2024 to Jan 28, 2025
- RAUM · $437M to $528MNov 22, 2024 to Jan 28, 2025
- Accounts · 0 to 1,485May 1, 2024 to Jun 6, 2024
- Advisory activities · 4 to 5May 1, 2024 to Jun 6, 2024
- HNW clients · unset to 132.0May 1, 2024 to Jun 6, 2024
- Individual clients · unset to 59.0May 1, 2024 to Jun 6, 2024
- Discretionary RAUM · $0 to $437MMay 1, 2024 to Jun 6, 2024
- HNW RAUM · unset to 389102950.0May 1, 2024 to Jun 6, 2024
- Individual RAUM · unset to 39882598.0May 1, 2024 to Jun 6, 2024
- RAUM · $0 to $437MMay 1, 2024 to Jun 6, 2024
- Other offices · 0 to 1Feb 8, 2024 to May 1, 2024
- HQ state · IL to COJan 30, 2024 to Jan 31, 2024
- HQ state · CO to ILJan 4, 2024 to Jan 30, 2024
Signals
4 dated events
- 5 advisors left U•• F•••••••• S••••••• I••• (Denver, CO) for I••••• C•••••• P••••••• L•• on the same dayFeb 20, 2024 · Team lift-out · derived
- Christopher Brett Stone (Chief Compliance Officer) appeared on Schedule A of I••••• C•••••• P••••••• L••Feb 1, 2024 · Control person joined · fact
- G••• S•••• (Managing Member) appeared on Schedule A of I••••• C•••••• P••••••• L••Feb 1, 2024 · Control person joined · fact
- I••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 2, 2024 · 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
- 888-304-6722reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- I•••••CAPITALPARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 888-304-6722reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- i•••••••••.comreportedpublished 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026