DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

S••••••••• L••

CRD 327054

DENVER, CO

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Search this name across graphsid dfx:ria:27a5c916-12b0-65d2-68a8-0320e6fa1db9

Data as of Sep 5, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 18
On other graphs: 1
Observed: May 23, 2023 to Sep 5, 2024
13 observations

Across DFX

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

Allocatorsidentity

S••••••••• L••

Investment consultant · shared crd

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: $1.7B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $238Mderived••• Locked
Private client share: 14%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•••••• N••••	CO-PRESIDENT & CHIEF OPERATING OFFICER	Na	yes	07/2023	Sep 6, 2023	Sep 5, 2024
I•• A••••••• L••	Member	E	yes	10/2023	Oct 25, 2023	Sep 5, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•• A••••••• S•••••••• I•••	n/a	Mixed wealth	$3.9B	N	yes	n/a
E••••• I•••••••• S••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•• I••••••••• I•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 25, 2024	$1.7B	$1.3B	14	12	1	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
2023	$1.7B	n/a	n/a	n/a	n/a	14	n/a	2	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I•• A••••••• S•••••••• I•••	9	Jan 3, 2025	Jan 2, 2025	DENVER, CO	Firm absorbed	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• I••••••••• C••••••• L•••	8	Dec 31, 2023	Jul 20, 2023	DENVER, CO	Firm absorbed	Other	100.0%

Relationships

Affiliated with (2)

← I•• A••••••• S•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ I•• A••••••• S•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← V••••••••• B•••••••• H•••••OwnerCO-PRESIDENT, ownership code NA, individual
Sep 6, 2023 to presentfactForm ADV
← R•••••• V••••••• L•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
S••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $1.7B)
Form ADVobserved 7 days ago
$1.7B
Occurred
Jan 3, 2025
Firm absorbed
S••••••••• L••'s advisors moved to I•• A••••••• S•••••••• I••• (Denver, CO): 7 of 9 registered, on the same day
Form ADVobserved 7 days ago
7 advisors
Occurred
Jan 3, 2025
Advisor changed firm
Lynsey Goldstein left S••••••••• L•• for I•• A••••••• S•••••••• I••• (registered 2025-01-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27a5c916-12b0-65d2-68a8-0320e6fa1db9
First observed: May 23, 2023
Last observed: Sep 5, 2024 24 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.