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
S•••••• C••••••
Legal name S•••••• C•••••• O• C••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Feb 28, 2025 · 5 filings
SEC status approved since Feb 24, 2025
RAUM
$98.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$76.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$49.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$98.8M as of Feb 26, 2026
Feb 28, 2025$0 then
HNW client RAUM$64.7M as of Feb 26, 2026
Jun 16, 2025$41.6M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Feb 28, 20253 then
Employees (5.A)2 as of Feb 26, 2026
Feb 28, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $49.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $463,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.7M65%
- State and municipal entities$22.8M23%
- Individuals$11.3M11%
- Individual clients
- 32reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 213reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K• W•••• | Fort Collins, Co | Feb 24, 2025 | 23 y | 3 |
| A••••• C••••••• H••••• | Fort Collins, Co | Mar 30, 2026 | 23 y | 1 |
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 headcount2 left over 36 months
Left, latest
- R•••• G•••• to M•••••• C•••••• M••••••••• L••Jul 7, 2025 · RIA to RIA
- J••••• L• D•••• to W••••• F•••••••• L••Jun 23, 2025 · RIA to RIA
Joined, latest
- A••••• C••••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 30, 2026 · Wirehouse to independent RIA
- M•••••• K• W•••• from M•••• • C••••• I••Feb 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• L• D•••• from M•••• • C••••• I••Feb 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••• • C••••• I••Mar 3, 2025 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• T•••• · Managing Member/ Ccocontrolsince 12/2023 · owns 5% to 10%
- W••••• M••••••• K• · Managing Membercontrolsince 12/2023 · 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 |
|---|---|---|---|---|---|
| Fort Collins, Co · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 303 to 213Nov 10, 2025 to Feb 26, 2026
- Advisory employees · 2 to 1Nov 10, 2025 to Feb 26, 2026
- HNW clients · 20 to 40Nov 10, 2025 to Feb 26, 2026
- Individual clients · 77 to 32Nov 10, 2025 to Feb 26, 2026
- Employees · 3 to 2Nov 10, 2025 to Feb 26, 2026
- State-registered IARs · 2 to 1Nov 10, 2025 to Feb 26, 2026
- Discretionary RAUM · $102M to $98.8MNov 10, 2025 to Feb 26, 2026
- HNW RAUM · $41.6M to $64.7MNov 10, 2025 to Feb 26, 2026
- Individual RAUM · $38.4M to $11.3MNov 10, 2025 to Feb 26, 2026
- RAUM · $102M to $98.8MNov 10, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 0Jun 16, 2025 to Nov 10, 2025
- Accounts · 0 to 303May 14, 2025 to Jun 16, 2025
- Advisory employees · 3 to 2May 14, 2025 to Jun 16, 2025
- Charity clients · 0.0 to unsetMay 14, 2025 to Jun 16, 2025
- Corporate clients · 0.0 to unsetMay 14, 2025 to Jun 16, 2025
- HNW clients · 0 to 20May 14, 2025 to Jun 16, 2025
- Individual clients · 0 to 77May 14, 2025 to Jun 16, 2025
- Pension plan clients · 0.0 to unsetMay 14, 2025 to Jun 16, 2025
- Pooled vehicle clients · 0.0 to unsetMay 14, 2025 to Jun 16, 2025
- Employees · 4 to 3May 14, 2025 to Jun 16, 2025
- State-registered IARs · 3 to 2May 14, 2025 to Jun 16, 2025
- Discretionary RAUM · $0 to $102MMay 14, 2025 to Jun 16, 2025
- HNW RAUM · unset to 41550441.0May 14, 2025 to Jun 16, 2025
- Individual RAUM · unset to 38389076.0May 14, 2025 to Jun 16, 2025
- RAUM · $0 to $102MMay 14, 2025 to Jun 16, 2025
Signals
3 dated events
- R•••• G•••• left S•••••• C•••••• for M•••••• C•••••• M••••••••• L•• (registered 2025-07-16)Jul 7, 2025 · Advisor changed firm · fact
- J••••• L• D•••• left S•••••• C•••••• for W••••• F•••••••• L•• (registered 2025-06-20)Jun 23, 2025 · Advisor changed firm · fact
- 2 advisors left M•••• • C••••• I•• (Phoenix, AZ) for S•••••• C•••••• on the same dayMar 3, 2025 · Team lift-out · derived
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
- 970-837-3088reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/synergy-capital-of-coloradoreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 970-837-3088reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- s•••••••••.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
- $49.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026