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•••••• M•••••••••
Latest filing Apr 2, 2026
First filing on the tape Jun 13, 2025 · 5 filings
SEC status approved since Jun 17, 2025
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.3M
derived; firm RAUM over IAPD count
Employees
3
2 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$133M as of Apr 2, 2026
Jun 13, 2025$0 then
HNW client RAUM$113M as of Apr 2, 2026
Sep 25, 2025$105M then
State-registered IARs (5.B.3)2 as of Apr 2, 2026
Jun 13, 20251 then
Employees (5.A)3 as of Apr 2, 2026
Jun 13, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 2, 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
- $66.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $382,960derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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, educational seminarsreportedItem 5.G
- Custody
- $38.6M, 81 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$113M85%
- Individuals$17.6M13%
- Investment companies$1.7M1.3%
- Charitable organizations$23,8270.0%
- Individual clients
- 48reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 346reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.6M for 81 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 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•••••• E••••• L•••••Certified Financial Planner | Littleton, Co | Sep 25, 2025 | 12 y | 4 |
| A•••• R•••• | Littleton, Co | Sep 25, 2025 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••••• E••••• L••••• from D••••• P••• L••Sep 25, 2025 · RIA to RIA
- A•••• R•••• from C••••••• P••••••• I••••••••• A•••••••• L••Sep 25, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• M••••••• E••••• · Ownercontrolsince 05/2025 · owns 75% or more
- B•••••• A•••••• R•••• · Chief Compliance Officersince 08/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Littleton, Co · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 298 to 346Sep 25, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Sep 25, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Sep 25, 2025 to Mar 31, 2026
- HNW clients · 36 to 41Sep 25, 2025 to Mar 31, 2026
- Individual clients · 43 to 48Sep 25, 2025 to Mar 31, 2026
- Assets in custody · $37.7M to $38.6MSep 25, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 2Sep 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $120M to $133MSep 25, 2025 to Mar 31, 2026
- HNW RAUM · $105M to $113MSep 25, 2025 to Mar 31, 2026
- Individual RAUM · $15.4M to $17.6MSep 25, 2025 to Mar 31, 2026
- RAUM · $120M to $133MSep 25, 2025 to Mar 31, 2026
- Accounts · 0 to 298Jul 27, 2025 to Sep 25, 2025
- HNW clients · unset to 36.0Jul 27, 2025 to Sep 25, 2025
- Individual clients · unset to 43.0Jul 27, 2025 to Sep 25, 2025
- Assets in custody · unset to 37746905.0Jul 27, 2025 to Sep 25, 2025
- Custody of client assets · false to trueJul 27, 2025 to Sep 25, 2025
- Employees · 2 to 3Jul 27, 2025 to Sep 25, 2025
- Financial planning clients · 0 to 0Jul 27, 2025 to Sep 25, 2025
- Discretionary RAUM · $0 to $120MJul 27, 2025 to Sep 25, 2025
- HNW RAUM · unset to 104570705.0Jul 27, 2025 to Sep 25, 2025
- Individual RAUM · unset to 15370322.0Jul 27, 2025 to Sep 25, 2025
- RAUM · $0 to $120MJul 27, 2025 to Sep 25, 2025
Signals
No event on the tape.
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 email
- info@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-743-9440reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/summit-point-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- summitpoint-cap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7207439440reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- summitpoint-cap.com/contactreportedpublished 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
- $66.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026