DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

P• S••••••• L••

CRD 148726

BOULDER, CO

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Data as of Jul 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2012 to Jul 11, 2012
3 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: $47.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• J••••••• J•	CHIEF COMPLIANCE OFFICER	Na	yes	08/2008	Jan 23, 2012	Jul 11, 2012
M••••••• A•••••	Member	D	yes	12/2007	Jan 23, 2012	Jul 11, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 23, 2012	$47.0M	$0	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$47.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← H•••••• J••••••• J•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2012 to presentfactForm ADV
← M••••••• A•••••OwnerMEMBER, ownership code D, individual
Jan 23, 2012 to presentfactForm ADV
← P•••• S••••• C•••••• G•••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Jan 23, 2012 to presentfactForm ADV
← S•••••• H•••••••• L••OwnerMEMBER, ownership code C, domestic entity
Jan 23, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2012
Last observed: Jul 11, 2012 172 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.