DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

M••••••••• A••••••••• L••

CRD 107392

DENVER, CO

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Search this name across graphsid dfx:ria:273d98a2-5729-618d-0173-f0c29ba91e2a

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 40
On other graphs: 1
Observed: Mar 22, 2012 to May 8, 2026
32 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M••••••••• A•••••••••

Investment consultant · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 58
Advisory employees: 31
Offices: 4Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• A•••••• L•••••	MANAGING DIRECTOR - DIRECTOR OF RESEARCH	Na	yes	01/2018	Jan 31, 2018	Mar 27, 2024
D••••• W••••••• C•••••••••	MANAGING DIRECTOR	Na	yes	01/2020	May 15, 2020	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cleveland	Oh	United States	5	no
Boston	Ma	United States	2	no
Bethesda	Md	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	58	57	4	3

Relationships

Controls (14)

← D•••••• B••••••• G••••OwnerEXECUTIVE CHAIRMAN, ownership code D, individual
Mar 22, 2012 to Mar 27, 2024factForm ADV
← H••••••••• S•••••• E•••OwnerMANAGING DIRECTOR, ownership code A, individual
Mar 22, 2012 to Mar 27, 2024factForm ADV
← S••••••• J••••••• D•••OwnerMANAGING DIRECTOR, ownership code A, individual
Mar 22, 2012 to Mar 27, 2024factForm ADV
← Z••••••••• K••••• A•••••OwnerMANAGING DIRECTOR, ownership code A, individual
Mar 22, 2012 to Mar 27, 2024fact

Dated events

15 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 8, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
May 8, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
May 8, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:273d98a2-5729-618d-0173-f0c29ba91e2a
First observed: Mar 22, 2012
Last observed: May 8, 2026 4 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.