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CRD 174210
DENVER, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| THEODORE ANDREW HARRIS | n/a | Boulder, CO | 8 | 22 | 2 | no |
| DOUG SCOTT MORRIS | Certified Financial Planner | DENVER, CO | 7 | 22 | 1 | no |
| ANTHONY MARION COPPOLA | Certified Financial Planner | DENVER, CO | 6 | 21 | 1 | no |
| DANIEL WILLIAM BARTON | n/a | DENVER, CO | 0 | 10 | 2 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SHEARWATER FUND, LP | Hedge Fund | $130M | Mar 24, 2026 | 92 | Jun 30, 2017 | reported | 021-287473 |
| PEREGRINE PRIVATE EQUITY FUND I LP | Private Equity Fund | $33.1M | Mar 24, 2026 | 63 | Mar 27, 2020 | reported | 021-353817 |
| PEREGRINE PRIVATE EQUITY FUND II LP | Private Equity Fund | $26.1M | Mar 24, 2026 | 80 | Mar 29, 2023 | reported | 021-416395 |
| PEREGRINE PRIVATE EQUITY FUND III LP | n/a | $20.3M | Mar 24, 2026 | 19 | Mar 24, 2026 | reported | 021-496645 |
| PETREL CAPITAL FUND LP | Hedge Fund | $20.3M | Mar 24, 2026 | 55 | Mar 28, 2019 | reported | 021-318681 |
| LONGSPUR FUND II LP | Private Equity Fund | $19.6M | Mar 28, 2024 | 70 | Jun 30, 2017 | dropped | 021-278698 |
| AUKLET FUND III LP | Private Equity Fund | $11.9M | Mar 28, 2024 | 74 | Mar 27, 2024 | dropped | 021-476061 |
| LONGSPUR FUND I, LP | Private Equity Fund | $9.9M | Mar 28, 2024 | 42 | Jun 30, 2017 | dropped | 021-246086 |
| AUKLET FUND II LP | Private Equity Fund | $9.5M | Mar 28, 2024 | 57 | Mar 30, 2021 | dropped | 021-377322 |
| AVOCET FUND I LP | Private Equity Fund | $5.2M | Jun 30, 2017 | 28 | Jun 30, 2017 | dropped | 021-266507 |
| AUKLET FUND LP | Private Equity Fund | $5.1M | Mar 28, 2024 | 40 | Mar 28, 2019 | dropped | 021-312569 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HARRIS, THEODORE, ANDREW | MEMBER AND MANAGER OFFICER AND COO | E | yes | 06/2016 | Mar 24, 2026 | Mar 24, 2026 |
| BOLTON, OANA, NM | CHIEF COMPLIANCE OFFICER AND COO | Na | yes | 06/2017 | Jun 30, 2017 | Mar 28, 2024 |
| SHERMAN, MICHAEL, JOHN | MEMBER AND MANAGER | D | yes | 11/2014 | Jan 19, 2015 | Mar 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Denver | Co | United States | 3 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $1.2B | $1.2B | 8 | 5 | 0 | 5 | n/a |
| 2024 | Mar 27, 2025 | $1.2B | $1.2B | 11 | 8 | 1 | 9 | n/a |
| 2023 | Mar 27, 2024 | $1.2B | $1.1B | 12 | 9 | 1 | 9 | $215M |
| 2022 | Mar 29, 2023 | $1.1B | $988M | 10 | 7 | 1 | 8 | $181M |
| 2021 | Mar 29, 2022 | $1.1B | $1.1B | 10 | 7 | 1 | 7 | $144M |
| 2020 | Mar 30, 2021 | $869M | $799M | 8 | 6 | 1 | 7 | $102M |
| 2019 | Mar 27, 2020 | $763M | $695M | 8 | 5 | 1 | 6 | $82.0M |
| 2018 | Mar 28, 2019 | $430M | $388M | 6 | 3 | 1 | 5 | $65.4M |
| 2017 | Apr 2, 2018 | $335M | $297M | 4 | 2 | 0 | 3 | $45.1M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.2B | $1.2B | -3.6% | $1.1B | 4.0% | 8 | 11 | 0 | 1 |