DFX Intelligence
Data Factory
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Reading the graph
CRD 110404
DENVER, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JONES, SAMUEL, FRANKLIN | PRESIDENT / CHIEF COMPLIANCE OFFICER | E | yes | 11/1995 | Mar 23, 2012 | Mar 4, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 4, 2024 | $164M | $164M | 4 | 1 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $173M | $173M | 4 | 2 | 0 | n/a | n/a |
| 2021 | Feb 11, 2022 | $197M | $197M | 4 | 2 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $205M | $205M | 5 | 2 | 0 | n/a | n/a |
| 2019 | Mar 31, 2020 | $196M | $193M | 6 | 2 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $169M | $169M | 5 | 2 | 0 | n/a | n/a |
| 2017 | Mar 28, 2018 | $168M | $168M | 4 | 1 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $153M | $153M | 5 | 1 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $146M | $146M | 5 | 1 | n/a | n/a | n/a |
| 2014 | Mar 20, 2015 | $155M | $155M | 5 | 1 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $116M | $116M | 5 | 1 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $106M | $106M | 5 | 1 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $111M | $111M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $164M | $173M | -4.8% | $205M | -7.1% | 4 | 4 | 0 | 0 |