DFX Intelligence

I••••••••• S••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

I••••••••• S••••••• G••••• I•••

CRD 136568

DENVER, CO

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Search this name across graphsid dfx:ria:05e956f6-19ba-690b-d220-27f305bb7991

Data as of Mar 10, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Mar 5, 2012 to Mar 10, 2021
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $798M••• Locked
Discretionary RAUM: $798M
Private client RAUM: $798Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• M•••• E•••	PRINCIPAL/ CHIEF COMPLIANCE OFFICER	C	yes	04/2019	Apr 10, 2019	Mar 10, 2021
K•••••• B••••••• J•••	PRINCIPAL / CFO	B	yes	01/2017	Jan 19, 2017	Mar 10, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$798M	$743M	7.4%	$669M	6.1%	10	10	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	4	Nov 9, 2021	Jan 1, 2025	DENVER, CO	Firm absorbed	RIA to ibd	80.0%

Relationships

Controls (4)

← P•••••• M•••••••• R•••OwnerPRINCIPAL / CEO, ownership code C, individual
Mar 5, 2012 to presentfactForm ADV
← S•••••••• O•••••• M•••••OwnerPRINCIPAL, ownership code B, individual
Apr 10, 2019 to presentfactForm ADV
← F•••••••• M•••• E•••OwnerPRINCIPAL/ CHIEF COMPLIANCE OFFICER, ownership code C, individual
Apr 10, 2019 to presentfactForm ADV
← K•••••• B••••••• J•••OwnerPRINCIPAL / CFO, ownership code B, individual
Jan 19, 2017 to presentfact

Dated events

Occurred
Feb 4, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 4, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 10, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05e956f6-19ba-690b-d220-27f305bb7991
First observed: Mar 5, 2012
Last observed: Mar 10, 2021 67 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.