DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F•••• P•••• C•••••• L••

CRD 155819

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Search this name across graphsid dfx:ria:5d19667a-640b-f1c1-9edf-37ee04607fdd

Data as of Sep 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 1
Observed: Nov 11, 2011 to Sep 17, 2020
22 observations

Across DFX

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

Private Equityidentity

F•••• P•••• C•••••• L••

Intermediary · 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: $13.4M••• Locked
Discretionary RAUM: $13.4M
Private client RAUM: $4.2Mderived••• Locked
Private client share: 31%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $6.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• W•••••• C•••••••	n/a	Dacono, CO	4	22	7	yes
C•••• S••••• S•••••	n/a	Boulder, CO	4	24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••• D•• L•••	Hedge Fund	$11.4M	Feb 11, 2014	5	Mar 31, 2012	dropped	021-181890

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• C••••• S•••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	11/2010	Nov 11, 2011	Sep 17, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$13.4M	$26.1M	-48.6%	$104M	-49.5%	1	1	0	0

Relationships

Registered with (3)

← K•••• W•••••• M•••••Advisorregistration: current employment
Sep 14, 2026 to presentfactForm ADV
← C•••• S••••• S•••••Advisorregistration: current employment
Apr 6, 2022 to presentfactForm ADV
← K•••• W•••••• C•••••••Advisorregistration: current employment
Nov 5, 2021 to presentfactForm ADV

Controls (1)

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

Occurred
Sep 14, 2026
••• Locked
Occurred
Sep 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d19667a-640b-f1c1-9edf-37ee04607fdd
First observed: Nov 11, 2011
Last observed: Sep 17, 2020 73 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.