DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P•••••••• M••••••••• C••••••••• I•••

CRD 107747

DENVER, CO

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Search this name across graphsid dfx:ria:5ba10af1-1996-c68d-87c9-f3899cc4bd9e

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2017
16 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 0
SEC number: 801-29130
CRD: 107747
Filings on the tape: 16
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J•••••• T•••	CHAIRMAN, CEO AND DIRECTOR	Na	yes	09/2001	Mar 30, 2012	Mar 31, 2017
C•••••• W••••••• C•	PRESIDENT/MANAGING DIRECTOR	Na	yes	09/2001	Mar 30, 2012	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••••• A•••• M••••••••• I•••	n/a	Independent wealth	$615B	N	yes	n/a
E•••••••• P•••••••• S••••••••• I•••	n/a	Independent wealth	$17B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	n/a	$8.0M	n/a	$16.1M	n/a	2	32	n/a	n/a

Relationships

Affiliated with (8)

→ E•••••••• P•••••••• S••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• P••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••••• C•••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• R••••••••• S••••••••• L••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ba10af1-1996-c68d-87c9-f3899cc4bd9e
First observed: Mar 30, 2012
Last observed: Mar 31, 2017 115 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.