DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

I•• G•••• W••••• M••••••••• L••

CRD 311419

DENVER, CO

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Search this name across graphsid dfx:ria:1009788d-c79c-0315-18e8-cb1e34b6a091

Data as of Apr 23, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 64
Dated events: 40
On other graphs: 0
Observed: Mar 19, 2021 to Apr 23, 2024
17 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: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 45

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• K••••• L•••	CO- CHIEF COMPLIANCE OFFICER	Na	yes	10/2020	Mar 19, 2021	Apr 23, 2024
B••• A•••• J•	MANAGEMENT COMMITTEE MEMBER	F	yes	10/2020	Mar 19, 2021	Apr 23, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Fargo	Nd	United States	9	no
Waseca	Mn	United States	3	no
FORT COLLINS	Co	United States	2	no
Sparta	Mi	United States	2	no
GRAND FORKS	Nd	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 22, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.2B	$1.0B	12.9%	n/a	n/a	45	48	22	21

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	6	Sep 23, 2024	Jan 1, 2026	DENVER, CO	Team lift out	RIA to ibd	26.1%
L•• F•••••••• L••	2	Aug 30, 2024	Jan 1, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Jun 24, 2026	Sep 7, 2022	MOULTON, TX	Team lift out	Ibd to RIA	0.0%
I••••••••• C•••••• O• A••••••• I•••	3	Dec 5, 2017	Feb 17, 2022

Relationships

Owns (1)

← B•••••• M••••••• T•••••OwnerMANAGEMENT COMMITTEE MEMBER, ownership code F, individual
Mar 15, 2023 to presentfactForm ADV

Controls (11)

← B•••••• K••••• L•••OwnerCO- CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 19, 2021 to presentfactForm ADV
← R•••••• T•••••• C•••••••OwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 19, 2021 to presentfactForm ADV
← C••••••• B••••••• E•••••OwnerMANAGEMENT COMMITTEE MEMBER, ownership code F, individual

Dated events

Occurred
Jun 24, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Sep 23, 2024
Team lift-out
••• Locked
Form ADVobserved 7 days ago
6 advisors
Occurred
Sep 23, 2024
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 23, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1009788d-c79c-0315-18e8-cb1e34b6a091
First observed: Mar 19, 2021
Last observed: Apr 23, 2024 29 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.