DFX Intelligence

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

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

C•••••• P••• P•••••••• I•••

CRD 300020

DENVER, CO

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Search this name across graphsid dfx:ria:5b641492-2307-122e-cfc5-281fd64b0e34

Data as of May 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 1
Observed: Dec 7, 2018 to May 17, 2019
4 observations

Across DFX

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

Private Equityidentity

C•••••• P••• P•••••••• I•••

Private equity manager · shared 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
Regulatory AUM: $101M••• Locked
Discretionary RAUM: $101M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• P••• P••••••• F••• I• L•••	Private Equity Fund	$99.9M	May 17, 2019	8	Dec 7, 2018	reported	021-328641
C•••••• P••• P••••••• F••• I••• L•••	Private Equity Fund	$1.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• G••••• L•••••	DIRECTOR AND CHAIRMAN	E	yes	05/2017	Dec 7, 2018	May 17, 2019
F•••••• E•••••• F••••	President	Na	no	05/2017	Dec 14, 2018	May 17, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• P••• P••••••• G• I• L•••	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
2018	Mar 30, 2019	$63.7M	$63.7M	7	6	0	2	$63.7M

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	$101M	n/a	n/a	n/a	n/a	8	n/a	0	n/a

Relationships

Advises (2)

→ C•••••• P••• P••••••• F••• I••• L•••Private fundPrivate Equity Fund, IA
Dec 7, 2018 to presentfactForm ADV
→ C•••••• P••• P••••••• F••• I• L•••Private fundPrivate Equity Fund, IA
Dec 7, 2018 to presentfactForm ADV

Owns (2)

← F•••••• E•••••• F••••OwnerPRESIDENT, ownership code NA, individual
Dec 14, 2018 to presentfactForm ADV
← M••••• C••••••••• T•••••• A••

Dated events

Occurred
Dec 7, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b641492-2307-122e-cfc5-281fd64b0e34
First observed: Dec 7, 2018
Last observed: May 17, 2019 89 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.