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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

L••• A•••• M•••••••••

ROCKY MOUNTAIN L••• A•••• M••••••••• LLC, CRD 332481

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:3aa5c51a-bb2e-fba7-4710-75198e70db6d

Data as of Jan 27, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jul 22, 2024 to Jan 27, 2025
9 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: $25.2MItem 5.F on the latest filing (2025-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $25.2M
Private client RAUM: $25.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• A•••••• S•••••	n/a	ENGLEWOOD, CO	2	34	4	no
B••••••• D•••• S•••••	n/a	ENGLEWOOD, CO	1	11

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• R•••••• A••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	07/2024	Jul 22, 2024	Dec 6, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Englewood	Co	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jan 27, 2025	$25.2M	$25.2M	3	1	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$25.2M	n/a	n/a	n/a	n/a	3	n/a	1	n/a

Relationships

Registered with (2)

← B••••••• D•••• S•••••Advisorregistration: current employment
Jul 17, 2025 to presentfactForm ADV
← R••••• A•••••• S•••••Advisorregistration: current employment
Sep 6, 2024 to presentfactForm ADV

Controls (1)

← S•••••• R•••••• A••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 22, 2024 to Dec 6, 2024factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
L••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $25.2M)
Form ADVobserved 7 days ago
$25.2M
Occurred
Jul 22, 2024
First Form ADV filing
L••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3aa5c51a-bb2e-fba7-4710-75198e70db6d
First observed: Jul 22, 2024
Last observed: Jan 27, 2025 20 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.