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CRD 111196
DENVER, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••••• B•••• M••••• | Certified Financial Planner | DENVER, CO | 13 | 15 | n/a | no |
| A••••• L•••• Y•••• | Certified Financial Planner | DENVER, CO | 10 | 23 | 2 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• T••••••• J• | Cgo | Na | yes | 05/2019 | Jan 31, 2020 | Aug 29, 2024 |
| D•••••• H•••••••• I••• | Owner | E | yes | 09/2000 | Mar 6, 2012 | Aug 29, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Golden | Co | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 2 | -2 | 25.0% | 0 | 1 | 0 | 2 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $382M | $333M | 14.7% | $254M | 14.6% | 11 | 10 | 4 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B••••• F•••••••• A••••••• | 2 | Sep 1, 2022 | Oct 27, 2022 | COLLEGE STATION, TX | Team lift out | RIA to RIA | 33.3% |
| no |
| P•••• G•••• B•••••• | Certified Financial Planner|Chartered Financial Consultant | DENVER, CO | SARASOTA, FL | JUPITER, FL | 4 | 20 | 2 | no |
| T•••••• C•••• D•••• | Certified Financial Planner | BRIDGEWATER, NJ | DENVER, CO | 4 | 17 | 1 | no |
| C••••• A••• B•••• | Certified Financial Planner | DENVER, CO | College Station, TX | 4 | 13 | 1 | no |
| C••••••• G••• K•••••• | Certified Financial Planner | GOLDEN, CO | DENVER, CO | 1 | 11 | 2 | no |
| J•••••• A•••••••• H•••••••• | Certified Financial Planner | DENVER, CO | DETROIT LAKES, MN | 1 | 10 | 2 | no |
| T••• C•••••••• H••••• | Certified Financial Planner | DENVER, CO | Lake Ozark, MO | 0 | 11 | 1 | no |
| Cio |
| Na |
| yes |
| 05/2019 |
| Jan 31, 2020 |
| Aug 29, 2024 |
| J••••• S•••• | CHIEF OPERATIONS OFFICER (COO) | Na | yes | 02/2024 | Mar 13, 2024 | Aug 29, 2024 |
| M•••••• J•••••• B•••• | DIRECTOR/SHAREHOLDER | E | yes | 08/2017 | Mar 15, 2016 | Aug 29, 2024 |
| M•••••• J•••••• B•••• | Cco | Na | yes | 03/2018 | Mar 15, 2016 | Aug 29, 2024 |
| Feb 26, 2026 |
| $382M |
| $382M |
| 11 |
| 9 |
| 4 |
| n/a |
| n/a |
| 2024 | Feb 27, 2025 | $333M | $333M | 10 | 8 | 1 | n/a | n/a |
| 2023 | Mar 13, 2024 | $291M | $290M | 12 | 9 | 1 | n/a | n/a |
| 2022 | Feb 1, 2023 | $254M | $251M | 13 | 11 | 1 | n/a | n/a |
| 2021 | Apr 27, 2022 | $294M | $267M | 13 | 12 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $294M | $267M | 13 | 12 | 0 | n/a | n/a |
| 2019 | Mar 28, 2020 | $275M | $243M | 13 | 13 | 0 | n/a | n/a |
| 2018 | Mar 20, 2019 | $246M | $212M | 12 | 11 | 0 | n/a | n/a |
| 2017 | Mar 23, 2018 | $274M | $225M | 11 | 10 | 0 | n/a | n/a |
| 2016 | Mar 21, 2017 | $235M | $185M | 11 | 10 | n/a | n/a | n/a |
| 2015 | Mar 15, 2016 | $220M | $172M | 11 | 10 | n/a | n/a | n/a |
| 2014 | Mar 10, 2015 | $204M | $156M | 11 | 4 | n/a | n/a | n/a |
| 2013 | Feb 21, 2014 | $189M | $139M | 11 | 4 | n/a | n/a | n/a |
| 2012 | Mar 4, 2013 | $154M | $109M | 10 | 4 | n/a | n/a | n/a |
| 2011 | Mar 6, 2012 | $130M | $93.0M | n/a | n/a | n/a | n/a | n/a |