SourcingSourcing

FIDELIS IM, LLC

C41
CRD 162985·SEC 801-118351·MEDFORD, OR
AUM
$306.1M
$100M-$500M
Est. Revenue
$3.1M
@ 1% on AUM
Est. EBITDA
$918K
@ 30% margin
Est. Deal Value
$7.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FIDELIS IM, LLC
CRD
162985
SEC file #
801-118351
EIN
454678548
DBA names
Fidelis Im

Economics

AUM
$306.1M
AUM band
$100M-$500M
AUM trajectory
'21'26
$121.4M → $306.1M▲ +152%
Client mix
Individuals Other183
Individuals High Net Worth63
Pension Profit Sharing Plans29

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'21'26
2 advisors → 1 advisors▼ -50%
Primary office
MEDFORD OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
fidelisim.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DENN, KEEGAN, JAY
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
DENN, KEEGAN, JAY
RICHARDS, TRACY, LE ANN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FIDELISIM.COM
Rdap Domain Creation Date
2012-01-15T00:01:30Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001894206
Edgar Registered
Yes
Edgar Filing Count
22
Edgar First Filing Date
2021-12-09
Edgar Last Filing Date
2026-04-29
Edgar 13f Count
19
Edgar 13f Latest AUM Estimate
Filing Date2026-04-29
Accession0001894206-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
2950 E BARNETT ROADMEDFORD, OR 97504
Business
2950 E BARNETT ROADMEDFORD, OR 97504
Edgar EIN
454678548
Edgar Recent Filings
13F-HR2026-04-29 · 0001894206-26-000002
13F-HR2026-01-23 · 0001894206-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-15T00:01:30Z
Rdap Domain Last Changed
2026-01-15T14:26:42Z
Rdap Nameservers
Ns27.domaincontrol.comNs28.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
5783555
Trust Company Affiliate
No

People (2)

2
DENN, KEEGAN, JAY
IAR · Direct Owner · 62.5%
5783555
TRACY LE ANN RICHARDS
Direct Owner · 37.5%
6041222