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.

Former SEC-registered adviser

Ntb Advisors, A Division Of Ntb Financial Corporation

Former SEC-registered adviserCentennial, ColoradoCRD 7425SEC 801-65853IAPD
Legal name Ntb Financial Corporation
Latest filing Dec 21, 2022
First filing on the tape Nov 22, 2011 · 41 filings
RAUM
$250M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$246M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
58
13 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$250M as of Sep 29, 2022
Sep 28, 2012$160M then
HNW client RAUM$174M as of Sep 29, 2022
Aug 16, 2018$103M then
State-registered IARs (5.B.3)17 as of Sep 29, 2022
Sep 28, 20120 then
Employees (5.A)58 as of Sep 29, 2022
Sep 26, 201353 then
Private funds: no history
RAUM -7.0% over the last fiscal year+4.8% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Dec 21, 2022; every figure names its basis
RAUM per advisor
$14.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$345,652derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.4derivedItem 5.A over advisors
Advisors per office
2.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.5%derived
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, publicationsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$174M70%
  • Individuals$71.8M29%
  • Pension and profit-sharing plans$4.3M1.7%
Individual clients
307reported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
724reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael John Morgan · Executive Vp, Managing Directorcontrol
    since 12/2010 · owns 25% to 50%
  • Anthony Benedict Petrelli · President, Chairman, Managing Director, Principal Financial Officercontrol
    since 12/2010 · owns 25% to 50%
  • Regina Lee Roesener · Executive Vp, Managing Director,Secretary, Principal Operating Officercontrol
    since 12/2010 · owns 25% to 50%
  • Anthony Joseph Campen · Chief Compliance Officer
    since 01/2022 · owns less than 5%
  • Brad Allen Dowell · Chief Financial Officer Finop
    since 12/2020 · owns less than 5%
  • William Ben Jr Miller · Vice President,Rosfp
    since 10/2000 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Wichita, KS2 employees
  • Solana Beach, CA1 employees
  • Denver, CO1 employees
  • Kernersville, NC1 employees
  • Northfield, IL1 employees
What changed
consecutive filings, newest first
  • Accounts · 409 to 724
    Mar 7, 2022 to Sep 29, 2022
  • HNW clients · 76 to 75
    Mar 7, 2022 to Sep 29, 2022
  • Individual clients · 324 to 307
    Mar 7, 2022 to Sep 29, 2022
  • Discretionary RAUM · $260M to $243M
    Mar 7, 2022 to Sep 29, 2022
  • HNW RAUM · $153M to $174M
    Mar 7, 2022 to Sep 29, 2022
  • Individual RAUM · $116M to $71.8M
    Mar 7, 2022 to Sep 29, 2022
  • Non-discretionary RAUM · $9.4M to $7.2M
    Mar 7, 2022 to Sep 29, 2022
  • Pension RAUM · $454,922 to $4.3M
    Mar 7, 2022 to Sep 29, 2022
  • RAUM · $269M to $250M
    Mar 7, 2022 to Sep 29, 2022
  • Accounts · 753 to 409
    Jan 7, 2021 to Sep 30, 2021
  • Advisory employees · 16 to 13
    Jan 7, 2021 to Sep 30, 2021
  • BD registered reps · 38 to 57
    Jan 7, 2021 to Sep 30, 2021
  • HNW clients · 59 to 76
    Jan 7, 2021 to Sep 30, 2021
  • Individual clients · 336 to 324
    Jan 7, 2021 to Sep 30, 2021
  • Employees · 43 to 58
    Jan 7, 2021 to Sep 30, 2021
  • State-registered IARs · 12 to 17
    Jan 7, 2021 to Sep 30, 2021
  • Other offices · 6 to 5
    Jan 7, 2021 to Sep 30, 2021
  • Discretionary RAUM · $210M to $260M
    Jan 7, 2021 to Sep 30, 2021
  • HNW RAUM · $134M to $153M
    Jan 7, 2021 to Sep 30, 2021
  • Individual RAUM · $84.4M to $116M
    Jan 7, 2021 to Sep 30, 2021
  • Non-discretionary RAUM · $22.2M to $9.4M
    Jan 7, 2021 to Sep 30, 2021
  • Pension RAUM · $14.0M to $454,922
    Jan 7, 2021 to Sep 30, 2021
  • RAUM · $232M to $269M
    Jan 7, 2021 to Sep 30, 2021
  • Accounts · 957 to 753
    Jul 31, 2020 to Sep 30, 2020
  • BD registered reps · 39 to 38
    Jul 31, 2020 to Sep 30, 2020
  • HNW clients · 49 to 59
    Jul 31, 2020 to Sep 30, 2020
  • Individual clients · 905 to 336
    Jul 31, 2020 to Sep 30, 2020
  • Pension plan clients · 3.0 to unset
    Jul 31, 2020 to Sep 30, 2020
  • Employees · 44 to 43
    Jul 31, 2020 to Sep 30, 2020
  • Other offices · 7 to 6
    Jul 31, 2020 to Sep 30, 2020
  • Discretionary RAUM · $186M to $210M
    Jul 31, 2020 to Sep 30, 2020
  • HNW RAUM · $107M to $134M
    Jul 31, 2020 to Sep 30, 2020
  • Individual RAUM · $97.3M to $84.4M
    Jul 31, 2020 to Sep 30, 2020
  • Non-discretionary RAUM · $31.4M to $22.2M
    Jul 31, 2020 to Sep 30, 2020
  • Pension RAUM · $13.2M to $14.0M
    Jul 31, 2020 to Sep 30, 2020
  • RAUM · $217M to $232M
    Jul 31, 2020 to Sep 30, 2020
  • Other offices · 9 to 7
    Sep 11, 2019 to Jan 9, 2020
  • Accounts · 1,145 to 957
    Apr 22, 2019 to Sep 11, 2019
  • Advisory employees · 20 to 16
    Apr 22, 2019 to Sep 11, 2019
  • BD registered reps · 52 to 39
    Apr 22, 2019 to Sep 11, 2019
Signals
12 dated events
  • Donald Stanfield Mckinney left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Stacie R Craddock left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-08-24)
    Dec 31, 2022 · Advisor changed firm · fact
  • Zenas Norman Gurley left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Duane Ariel Smith left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Walter Ray Lasley left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Timothy A Szymanski left Ntb Advisors, A Division Of Ntb Financial Corporation for Forty North Wealth (registered 2022-12-14)
    Dec 31, 2022 · Advisor changed firm · fact
  • Lesley Myrna Shiffrin left Ntb Advisors, A Division Of Ntb Financial Corporation for Orographic Financial Advisors (registered 2022-12-15)
    Dec 31, 2022 · Advisor changed firm · fact
  • Michael John Morgan left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Bo Gabriel Alfred Pihl left Ntb Advisors, A Division Of Ntb Financial Corporation for Orographic Financial Advisors (registered 2022-11-23)
    Dec 31, 2022 · Advisor changed firm · fact
  • Loal Gene Wilson left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • 2 advisors left Ntb Advisors, A Division OF Ntb Financial Corporation (Denver, CO) for Orographic Financial Advisors on the same day
    Dec 31, 2022 · Team lift-out · derived
  • Ntb Advisors, A Division OF Ntb Financial Corporation's advisors moved to Momentum Independent Network Inc. (Highlands Ranch, CO): 6 of 10 registered, on the same day
    Dec 31, 2022 · Firm absorbed (people side) · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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