DFX Intelligence

P•••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

P•••••• A•••• M••••••••• L••

CRD 166257

DENVER, CO

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Search this name across graphsid dfx:ria:18856200-2ce5-9097-7500-9b9cf632359b

Data as of Apr 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: Nov 20, 2012 to Apr 29, 2022
21 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: $490M••• Locked
Discretionary RAUM: $490M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• M•• O••••••••• F••• I••• L•••	Other Private Fund	$6.4M	Apr 29, 2022	45	May 1, 2013	reported	021-19501503
P•••••• M•• O••••••••• F••• I•• •••• L•••	Other Private Fund	$1.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••• M••••••••• H•••••••• L••	Member	E	yes	02/2015	Sep 29, 2017	Apr 29, 2022
B•••••• A•••• M••••••••• L••	Member	E	yes	08/2017	Sep 29, 2017	Apr 29, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• A•••• M••••••••• L••	n/a	Asset manager	$64B	Y	yes	n/a
B•••••• C•••••• G• I••• L••	n/a	n/a	n/a	N	yes	n/a
B•••••• C•••••• G• I••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$490M	$814M	-39.8%	$1.9B	-36.4%	25	25	0	0

Relationships

Affiliated with (2)

← B•••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ B•••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (4)

→ P•••••• M•• O••••••••• F••• I•• •••• L•••Private fundOther Private Fund, IA
May 1, 2013 to presentfactForm ADV
→

Dated events

Occurred
Mar 29, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-324M
Occurred
Mar 30, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-790M
Occurred
Mar 21, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$604M
Occurred
Nov 20, 2012
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18856200-2ce5-9097-7500-9b9cf632359b
First observed: Nov 20, 2012
Last observed: Apr 29, 2022 53 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.