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

P•••••• F••••• O•••••• L••

Independent wealth managerCrested Butte, ColoradoCRD 338839SEC 801-134600websiteIAPD
Latest filing May 5, 2026
First filing on the tape Dec 4, 2025 · 3 filings
SEC status approved since Dec 8, 2025
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.9M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$142M as of May 5, 2026
Dec 4, 2025$0 then
HNW client RAUM$142M as of May 5, 2026
Dec 4, 2025$0 then
State-registered IARs (5.B.3)2 as of May 5, 2026
Dec 4, 20251 then
Employees (5.A)3 as of May 5, 2026
Dec 4, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
$70.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$659,271derivedRAUM 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 individualsreportedItem 5.G
Custody
$345,898, 5 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$142M100%
Individual clients
0reported
HNW clients
37reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
215reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$345,898 for 5 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••••• F•••• W•••••••Crested Butte, CoApr 1, 202618 y6
J••• M•••••• P••••••Crested Butte, CoApr 2, 202634 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••• J•••• M•••••• · Founder, Managing Director, Chief Compliance Officercontrol
      since 09/2019 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Crested Butte, Co · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 215
      Dec 4, 2025 to Apr 27, 2026
    • BD registered reps · 0 to 2
      Dec 4, 2025 to Apr 27, 2026
    • HNW clients · 0 to 37
      Dec 4, 2025 to Apr 27, 2026
    • Assets in custody · unset to 345898.0
      Dec 4, 2025 to Apr 27, 2026
    • Custody of client assets · false to true
      Dec 4, 2025 to Apr 27, 2026
    • Employees · 4 to 3
      Dec 4, 2025 to Apr 27, 2026
    • Financial planning clients · 0 to 1-10
      Dec 4, 2025 to Apr 27, 2026
    • State-registered IARs · 1 to 2
      Dec 4, 2025 to Apr 27, 2026
    • Discretionary RAUM · $0 to $142M
      Dec 4, 2025 to Apr 27, 2026
    • HNW RAUM · $0 to $142M
      Dec 4, 2025 to Apr 27, 2026
    • RAUM · $0 to $142M
      Dec 4, 2025 to Apr 27, 2026
    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
    Business email
    a••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    303-797-9080reportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    972-947-9400reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    972-947-9400reportedpublic record, Form ADV, May 5, 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
    $70.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026