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
F••• F•••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Mar 8, 2024 · 6 filings
SEC status approved since Apr 8, 2024
RAUM
$290M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
89%
$258M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$96.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$290M as of Mar 6, 2026
Mar 3, 2025$248M then
HNW client RAUM$185M as of Mar 6, 2026
Mar 3, 2025$156M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 3, 20252 then
Employees (5.A)2 as of Mar 6, 2026
Mar 3, 20252 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- $96.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $403,287derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M64%
- Individuals$73.0M25%
- Pension and profit-sharing plans$27.5M9.5%
- Charitable organizations$4.5M1.6%
- Individual clients
- 205reported
- HNW clients
- 54reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 719reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 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 |
|---|---|---|---|---|
| M•••••• J••••• R•••••Certified Financial Planner | Golden, Co | Apr 8, 2024 | 18 y | 1 |
| J••••• L•••• R•••••Chartered Financial Consultant | Golden, Co | Nov 10, 2025 | 42 y | 1 |
| J••••• B•••• R••••• | Golden, Co | Jul 7, 2026 | 11 y | 0 |
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
- J••••• L•••• R••••• from F•••••••• C••••••••• A••••••••• I••Nov 10, 2025 · RIA to RIA
- M•••••• J••••• R••••• from F•••••••• C••••••••• A••••••••• I••Apr 8, 2024 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••••• C••••••••• A••••••••• I••Jun 13, 2024 · Golden, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• M••••••• J••••• · Owner, President, Financial Advisor, Ccocontrolsince 02/2024 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Golden, Co | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 713 to 719Jun 4, 2025 to Mar 6, 2026
- HNW clients · 55 to 54Jun 4, 2025 to Mar 6, 2026
- Individual clients · 204 to 205Jun 4, 2025 to Mar 6, 2026
- Pension plan clients · unset to 5.0Jun 4, 2025 to Mar 6, 2026
- Discretionary RAUM · $225M to $262MJun 4, 2025 to Mar 6, 2026
- HNW RAUM · $156M to $185MJun 4, 2025 to Mar 6, 2026
- Individual RAUM · $65.2M to $73.0MJun 4, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $22.7M to $27.6MJun 4, 2025 to Mar 6, 2026
- Pension RAUM · $22.7M to $27.5MJun 4, 2025 to Mar 6, 2026
- RAUM · $248M to $290MJun 4, 2025 to Mar 6, 2026
- Financial planning clients · 101-250 to 101-250Mar 3, 2025 to Jun 4, 2025
- Accounts · 227 to 713Jun 29, 2024 to Mar 3, 2025
- HNW clients · 50 to 55Jun 29, 2024 to Mar 3, 2025
- Individual clients · 172 to 204Jun 29, 2024 to Mar 3, 2025
- HQ city · unset to Jun 29, 2024 to Mar 3, 2025
- HQ state · unset to Jun 29, 2024 to Mar 3, 2025
- Discretionary RAUM · $198M to $225MJun 29, 2024 to Mar 3, 2025
- HNW RAUM · $60.0M to $156MJun 29, 2024 to Mar 3, 2025
- Individual RAUM · $135M to $65.2MJun 29, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $20.0M to $22.7MJun 29, 2024 to Mar 3, 2025
- Pension RAUM · $20.0M to $22.7MJun 29, 2024 to Mar 3, 2025
- RAUM · $218M to $248MJun 29, 2024 to Mar 3, 2025
- Accounts · 250 to 227Apr 4, 2024 to Jun 29, 2024
- Individual clients · 196 to 172Apr 4, 2024 to Jun 29, 2024
- Discretionary RAUM · $90.0M to $198MApr 4, 2024 to Jun 29, 2024
- Individual RAUM · $27.0M to $135MApr 4, 2024 to Jun 29, 2024
- RAUM · $110M to $218MApr 4, 2024 to Jun 29, 2024
- Related adviser · true to falseApr 4, 2024 to Jun 29, 2024
- Related adviser · false to trueMar 8, 2024 to Apr 4, 2024
Signals
3 dated events
- F••• F•••••••• I••• reported RAUM $217.5M, up 98% from $110.0M (2024-04-04 to 2024-06-29)Jun 29, 2024 · RAUM change · derived
- 2 advisors left F•••••••• C••••••••• A••••••••• I•• (Golden, CO) for F••• F•••••••• I••• on the same dayJun 13, 2024 · Team lift-out · derived
- F••• F•••••••• I••• filed its initial SEC registration (Form ADV)Mar 8, 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
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-871-F•••reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- f•••••••••.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
- $96.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026