DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

R•• W•••• L••

CRD 158138

DENVER, CO

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Data as of Nov 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 14
On other graphs: 1
Observed: Nov 18, 2011 to Nov 17, 2022
29 observations

Across DFX

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

Allocatorsidentity

R•• W•••• L••

Investment consultant · same 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-72566
CRD: 158138

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D•••••• A••••	MANAGING DIRECTOR, W••• & MANAGER	F	yes	12/2019	Nov 18, 2011	Nov 17, 2022
B•••••••• R••••••• M••••••••	CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER & MANAGER	D	yes	04/2005	Nov 18, 2011	Nov 17, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• C•••••• M••••••••• L••	n/a	Independent wealth	$12B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 30, 2022

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	n/a	n/a	n/a	n/a	n/a	3	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• C••••••• L••	5	Dec 31, 2022	Aug 5, 2026	DENVER, CO	Firm absorbed	Other	83.3%

Relationships

Affiliated with (1)

→ C••• C••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Controls (9)

← R•• C•••••• M•••••••••OwnerMANAGER AND MEMBER, ownership code E, domestic entity
Nov 18, 2011 to presentfactForm ADV
← B•••••••• R••••••• M••••••••OwnerCHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER & MANAGER, ownership code D, individual
Nov 18, 2011 to presentfactForm ADV
← H•••• M••••• A••••••Owner

Dated events

Order

Occurred
31 Dec 2022
Firm absorbed
••• Locked
Form ADV
5 advisors
Occurred
31 Dec 2022
Advisor changed firm5 events
R•• W•••• L••: advisor changed firm, 5 counterparties, on 31 Dec 2022
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
31 Dec 2022
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
17 Nov 2022
Control person joined
••• Locked
Form ADV
Occurred
17 Jun 2022
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 2011
Last observed: Nov 17, 2022 46 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.