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CRD 157728
ENGLEWOOD, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ACA HOLDINGS, LLC | Member | C | yes | 12/2011 | Dec 22, 2011 | May 29, 2024 |
| AVEO CAPITAL HOLDINGS, LLC | Member | D | yes | 04/2011 | Dec 22, 2011 | May 29, 2024 |
| BEERMANN, MICHAEL, WALTER | MANAGING MEMBER | C | yes | 12/2011 | Dec 22, 2011 | May 29, 2024 |
| HENDERSON, PATRICK, SEAN | Member | E | yes | 09/2012 | Apr 1, 2013 | May 29, 2024 |
| RORICK, BRIAN, PATRICK | MANAGING MEMBER | C | yes | 12/2011 | Dec 22, 2011 | May 29, 2024 |
| TINNEY, KEYS, ERICSON | MANAGING MEMBER | E | yes | 02/2011 | Dec 22, 2011 | May 29, 2024 |
| TINNEY, KEYS, ERICSON | Manager | Na | yes | 04/2011 | Dec 22, 2011 | May 29, 2024 |
| ARMSTRONG, ANDY, JOHN | CHIEF COMPLIANCE OFFICER | Na | no | 05/2018 | May 29, 2018 | May 29, 2024 |
| RIA HOLDINGS, LLC | Member | A | no | 09/2012 | Apr 1, 2013 | May 29, 2024 |
| THOMPSON, MICHAEL, C | Member | C | no | 09/2012 | Apr 1, 2013 | May 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BLUE SKY ASSET MANAGEMENT, LLC | n/a | Asset manager | $98.6M | N | yes | n/a |
| AXCENT PRIVATE CAPITAL, LLC | n/a | Former SEC adviser | $4.4M | N | yes | n/a |
| BRHT MANAGEMENT, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lakewood | Co | United States | 8 | no |
| Louisvlle | Co | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Apr 8, 2025 | $1.6B | $1.4B | 27 | 21 | 1 | n/a | n/a |
| 2023 | Mar 28, 2024 | $1.5B | $1.3B | 33 | 22 | 2 | n/a | n/a |
| 2022 | Mar 23, 2023 | $1.3B | $1.1B | 23 | 18 | 2 | n/a | n/a |
| 2021 | Mar 15, 2022 | $1.5B | $1.2B | 23 | 18 | 2 | n/a | n/a |
| 2020 | Mar 22, 2021 | $1.0B | $896M | 22 | 16 | 2 | n/a | n/a |
| 2019 | Mar 10, 2020 | $768M | $692M | 17 | 14 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $660M | $615M | 17 | 14 | 2 | n/a | n/a |
| 2017 | Mar 29, 2018 | $667M | $667M | 23 | 19 | 2 | n/a | n/a |
| 2016 | Feb 23, 2017 | $565M | $565M | 24 | 18 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $548M | $548M | 24 | 18 | n/a | n/a | n/a |
| 2014 | Jan 15, 2015 | $436M | $436M | 20 | 17 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $305M | $305M | 7 | 6 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $215M | $215M | 7 | 4 | n/a | n/a | n/a |
| 2011 | Mar 19, 2012 | $113M | $113M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 16 | -16 | n/a | 0 | 0 | 0 | 3 | 25 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $1.6B | $1.5B | 8.2% | $1.5B | 4.0% | 27 | 33 | 1 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CWM, LLC | 9 | Oct 2, 2025 | Jan 6, 2026 | ENGLEWOOD, CO | Firm absorbed | RIA to ibd | 90.0% |
| MONETA GROUP INVESTMENT ADVISORS, LLC | 3 | Oct 1, 2025 | Aug 26, 2025 | ENGLEWOOD, CO | Team lift out | RIA to RIA | 18.8% |
| LEGACY WEALTH PARTNERS, LLC | 6 | Apr 1, 2025 | Mar 3, 2025 | LAKEWOOD, CO | Team lift out | RIA to new firm | 26.1% |
| TORO WEST CAPITAL ADVISORS | 2 | Jul 10, 2024 | Dec 17, 2025 | ENGLEWOOD, CO | Team lift out | RIA to new firm | 9.1% |