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
M••• L••
Latest filing Mar 31, 2026
First filing on the tape May 27, 2025 · 4 filings
SEC status approved since May 12, 2025
RAUM
$322M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
90%
$288M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$322M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$322M as of Mar 31, 2026
May 27, 2025$0 then
HNW client RAUM$288M as of Mar 31, 2026
Sep 9, 2025$282M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
May 27, 20251 then
Employees (5.A)6 as of Mar 31, 2026
May 27, 20252 then
Private funds: 5
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $322MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $904,594derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $322M, 50 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$288M90%
- Pooled investment vehicles$33.7M10%
- Individual clients
- n/areported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 356reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $322M for 50 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.1 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• S•••••• | Boulder, Co | Jan 1, 2026 | 33 y | 2 |
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
- M•••••• J••• S•••••• from S••••• H••• L••Jan 1, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••• M••••••• · Managing Member, Founder, Chief Operations Officer & Chief Compliance Officercontrolsince 04/2025 · owns 50% to 75%
- S••••••• M••••••• J••• · Managing Member, Founder & Chief Executive Officercontrolsince 04/2025 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-09-09, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 148 to 356Sep 9, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Sep 9, 2025 to Mar 31, 2026
- Assets in custody · $0 to $322MSep 9, 2025 to Mar 31, 2026
- Employees · 2 to 6Sep 9, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 3Sep 9, 2025 to Mar 31, 2026
- Private funds · unset to 5Sep 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $285M to $284MSep 9, 2025 to Mar 31, 2026
- HNW RAUM · $282M to $288MSep 9, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $31.9M to $38.0MSep 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $34.9M to $33.7MSep 9, 2025 to Mar 31, 2026
- RAUM · $317M to $322MSep 9, 2025 to Mar 31, 2026
- Accounts · 0 to 148Jul 23, 2025 to Sep 9, 2025
- HNW clients · unset to 60.0Jul 23, 2025 to Sep 9, 2025
- Pooled vehicle clients · unset to 5.0Jul 23, 2025 to Sep 9, 2025
- Discretionary RAUM · $0 to $285MJul 23, 2025 to Sep 9, 2025
- HNW RAUM · unset to 282462050.0Jul 23, 2025 to Sep 9, 2025
- Non-discretionary RAUM · $0 to $31.9MJul 23, 2025 to Sep 9, 2025
- Pooled vehicle RAUM · unset to 34868000.0Jul 23, 2025 to Sep 9, 2025
- RAUM · $0 to $317MJul 23, 2025 to Sep 9, 2025
- Financial planning clients · unset to May 27, 2025 to Jul 23, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Website
- m•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303.396.6204reportedpublic record, Form ADV, Mar 31, 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
- $322Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026