DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

R•• R•••• C•••••• L••

CRD 135117

DENVER, CO

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Data as of Aug 19, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 9
On other graphs: 0
Observed: Feb 15, 2012 to Aug 19, 2022
27 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: $126M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• A•••••••• I•••	PARENT, MEMBER	E	yes	07/2015	Aug 12, 2015	Aug 19, 2022
A••• H•••••••• I•••	Owner	E	yes	07/2015	Aug 12, 2015	Aug 19, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• A•••••••• I•••	n/a	Asset manager	$39B	Y	yes	n/a
A••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$126M	$131M	-4.0%	$209M	-15.6%	9	10	0	0

Relationships

Affiliated with (1)

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

Controls (8)

← A••• A•••••••• I•••OwnerPARENT, MEMBER, ownership code E, domestic entity
Aug 12, 2015 to presentfactForm ADV
← S••••• L••••• A•••••OwnerPRESIDENT, MANAGING MEMBER, ownership code NA, individual
Nov 4, 2019 to presentfactForm ADV
← N••••• R••••••• C••••OwnerSVP, GENERAL COUNSEL, ownership code NA, individual

Dated events

Occurred
Mar 27, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 4, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 4, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 10, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 15, 2012
Last observed: Aug 19, 2022 49 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.