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
T•••••••• B•• R•••• A•••••••• L•••
Latest filing Aug 28, 2026
First filing on the tape Aug 15, 2024 · 6 filings
SEC status approved since Sep 13, 2024
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$224M as of Aug 28, 2026
Apr 25, 2025$232M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Apr 25, 20250 then
Employees (5.A)29 as of Aug 28, 2026
Apr 25, 202525 then
Private funds1 as of Aug 28, 2026
Apr 25, 20251 then
RAUM -3.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $56.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $224M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$224M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $224M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••••• B•• R•••• C••••• O••••••••• M••••• F•••• L••• | Other Private Fund | $172M | 4 | Mar 29, 2024 |
| T•••••••• B•• R•••• C••••• O••••••••• F•••• L••• | Other Private Fund | $133M | 57 | Mar 29, 2024 |
| T•••••••• B•• R•••• C••••• O••••••••• I••••••••• F•••• L••• | Other Private Fund | $35.3M | 46 | Mar 29, 2024 |
| T•••••••• B•• R•••• C••••• O••••••••• E•••••••• F•••• L••• | Other Private Fund | $851,375 | 5 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••••• M•••••• · Vice President, Officer, Shareholdercontrolsince 06/2024 · owns 5% to 10%
- B•••••••• J••••• R••• · Vice President, Board Membercontrolsince 09/2024 · owns less than 5%
- C•••••• A••• M••••••••• · Co-Chief Legal Officercontrolsince 09/2024 · owns less than 5%
- D••••• J••••••• R••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- E•••••••• D••••• A••••• · Vice President, Board Membercontrolsince 09/2024 · owns less than 5%
- H•••• J•••••• D•••• · Vice President, Board Membercontrolsince 09/2024 · owns less than 5%
- I••••••• J•••• C•••••• · Chief Operating Officer, Vice Presidentcontrolsince 06/2024 · owns less than 5%
- K•••• J••••• D••••• · Secretary, Chief Compliance Officer, Co-Chief Legal Officer, Vice Presidentcontrolsince 06/2024 · owns less than 5%
- R••••••••• B••••• E••••• · E•••••••• Vice Presidentcontrolsince 06/2024 · owns less than 5%
- Z••••••• M•••• J••••• · E•••••••• Vice President, Board Membercontrolsince 09/2024 · owns less than 5%
- R••••••••• B••••• E••••• · Officer, Director & Shareholdercontrolsince 01/2020 · owns 25% to 50% of B•• R•••• A•••• M••••••••• C•••• I•
- T••••••••• H•••••• G•••••• · Trusteecontrolsince 07/1990 · owns 75% or more of G•••••• T•••••••• R•••••••• T••••
- W•••••••• J••••• M••••• · Managing Membercontrolsince 04/2000 · owns 75% or more of W••••••• E••••••••• L•••
Entity owners
- B•• R•••• A•••• M••••••••• L•• · Shareholder; Managing Memberdirect · owns 25% to 50%
- T•••••••• I••••••••• M••••••••• I•• · Shareholder; Managing Memberdirect · owns 50% to 75%
- B•• R•••• A•••• M••••••••• C•••• I• · Memberindirect · owns 75% or more of B•• R•••• A•••• M••••••••• L••
- D••• A•••••••• I••• · Trusteeindirect · owns F of R••••••••• 2••• T••••
- G•••••• T•••••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of T•••••••• I••••••••• M••••••••• I••
- R••••••••• 2••• T•••• · Shareholderindirect · owns 25% to 50% of B•• R•••• A•••• M••••••••• C•••• I•
- W••••••• E••••••••• L••• · Memberindirect · owns 25% to 50% of B•• R•••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
- B•• R•••• C••••••investment adviserbankpooled vehicle sponsoryRAUM $4.2B
- T•••••••• I••••••••• M••••••••• •••••• L•••broker-dealerinvestment advisern
- T•••••••• I••••••••• M••••••••• I••investment adviserbankpooled vehicle sponsoryRAUM $54B
- T•••••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Santa Fe, NM2 employees
What changed
consecutive filings, newest first
- Assets in custody · $0 to $224MMar 30, 2026 to May 22, 2026
- Custody of client assets · false to trueMar 30, 2026 to May 22, 2026
- Employees · 30 to 29Mar 30, 2026 to May 22, 2026
- Discretionary RAUM · $234M to $224MMar 30, 2026 to May 22, 2026
- Pooled vehicle RAUM · $234M to $224MMar 30, 2026 to May 22, 2026
- RAUM · $234M to $224MMar 30, 2026 to May 22, 2026
- Advisory employees · 5 to 7Apr 25, 2025 to Mar 30, 2026
- Employees · 25 to 30Apr 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $232M to $234MApr 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $232M to $234MApr 25, 2025 to Mar 30, 2026
- RAUM · $232M to $234MApr 25, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Oct 30, 2024 to Apr 25, 2025
- BD registered reps · 9 to 7Oct 30, 2024 to Apr 25, 2025
- Business name · B•• R•••• C••••• A•••••••• L••• to T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 to Apr 25, 2025
- Assets in custody · $341M to $0Oct 30, 2024 to Apr 25, 2025
- Custody of client assets · true to falseOct 30, 2024 to Apr 25, 2025
- Employees · 27 to 25Oct 30, 2024 to Apr 25, 2025
- Financial planning clients · unset to Oct 30, 2024 to Apr 25, 2025
- Legal name · B•• R•••• C••••• A•••••••• L••• to T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 to Apr 25, 2025
- Private funds · 4 to 1Oct 30, 2024 to Apr 25, 2025
- Discretionary RAUM · $341M to $232MOct 30, 2024 to Apr 25, 2025
- Pooled vehicle RAUM · $341M to $232MOct 30, 2024 to Apr 25, 2025
- RAUM · $341M to $232MOct 30, 2024 to Apr 25, 2025
- Accounts · unset to 4.0Aug 15, 2024 to Oct 30, 2024
- Advisory employees · 4 to 6Aug 15, 2024 to Oct 30, 2024
- BD registered reps · 3 to 9Aug 15, 2024 to Oct 30, 2024
- Pooled vehicle clients · unset to 4.0Aug 15, 2024 to Oct 30, 2024
- Assets in custody · $0 to $341MAug 15, 2024 to Oct 30, 2024
- Custody of client assets · false to trueAug 15, 2024 to Oct 30, 2024
- Employees · 18 to 27Aug 15, 2024 to Oct 30, 2024
- Other offices · 0 to 1Aug 15, 2024 to Oct 30, 2024
- Private funds · unset to 4Aug 15, 2024 to Oct 30, 2024
- Discretionary RAUM · unset to 340885312.0Aug 15, 2024 to Oct 30, 2024
- Non-discretionary RAUM · unset to 0.0Aug 15, 2024 to Oct 30, 2024
- Pooled vehicle RAUM · unset to 340885312.0Aug 15, 2024 to Oct 30, 2024
- RAUM · unset to 340885312.0Aug 15, 2024 to Oct 30, 2024
- Related broker-dealer · false to trueAug 15, 2024 to Oct 30, 2024
Signals
11 dated events
- T•••••••• B•• R•••• A•••••••• L••• reported RAUM $231.6M, down 32% from $340.9M (2024-10-30 to 2025-04-25)Apr 25, 2025 · RAUM change · derived
- Joseph Mark Zinkula (Executive Vice President, Board Member) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- Ryan Jesse Brownell (Vice President, Board Member) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- David Jeremy Held (Vice President, Board Member) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- Andrew David Ettenger (Vice President, Board Member) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- Mikolajczyk Amy Callow (Co-Chief Legal Officer) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- Martin James Weichert (Managing Member) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- Garrett Harold Thornburg (Trustee) appeared on Schedule A of T•••••••• B•• R•••• A•••••••• L•••Oct 30, 2024 · Control person joined · fact
- H••••••• J••••• A•••• (Officer, Director And Shareholder) no longer on Schedule A of T•••••••• B•• R•••• A•••••••• L••• (listed 2024-08-15, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- C••••••• D••••• P•••• (Officer, Director And Shareholder) no longer on Schedule A of T•••••••• B•• R•••• A•••••••• L••• (listed 2024-08-15, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- B•• R•••• C••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Aug 15, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••••••• B•• R•••• A•••••••• L••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 303-861-8466reportedpublic record, Form ADV, Aug 28, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026