DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

E•••• A•••••••• I•••

CRD 157461

COLORADO SPRINGS, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:54225964-f8c6-eca1-6304-cd683385e65f

Data as of Dec 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Dec 12, 2019
24 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: $280M••• Locked
Discretionary RAUM: $0
Private client RAUM: $44.5Mderived••• Locked
Private client share: 16%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M••••••••• L••	Member	D	yes	11/2010	Oct 9, 2018	Dec 12, 2019
B•••••••• B••••• H••••	MANAGING MEMBER	E	yes	11/2010	Nov 9, 2011	Dec 12, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$280M	$267M	4.7%	$225M	7.6%	10	10	0	0

Relationships

Controls (3)

← B•••••••• B••••• H••••OwnerMANAGING MEMBER, ownership code E, individual
Nov 9, 2011 to presentfactForm ADV
← A••••• M••••••••• L••OwnerMEMBER, ownership code D, domestic entity
Oct 9, 2018 to presentfactForm ADV
← T•• E••••••••• I•••OwnerHOLDING COMPANY, ownership code E, domestic entity
Nov 9, 2011 to presentfactForm ADV

Registered with (1)

← S•••• W•••••• P•••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54225964-f8c6-eca1-6304-cd683385e65f
First observed: Nov 9, 2011
Last observed: Dec 12, 2019 82 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.