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

AVANT-GARDE ADVISORS LLC

CRD 151527

CENTENNIAL, 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:657a7575-2b6d-8a5b-9594-0de3b22704da

Data as of Sep 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 2
On other graphs: 0
Observed: Jun 25, 2012 to Sep 15, 2016
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
Regulatory AUM: $363MItem 5.F on the latest filing (2016-09-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $349M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Accounts: 632
SEC number: 801-76860
CRD: 151527
Filings on the tape: 16
First filed: Jun 25, 2012
Latest filed: Sep 15, 2016
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AVANT-GARDE WEALTH MANGEMENT INC.	MANAGING MEMBER	E	yes	09/2009	Jun 25, 2012	Sep 15, 2016
DUBRAVAC, JON, EDWARD	Ceo	C	yes	07/2009	Jun 25, 2012	Sep 15, 2016
PATTON, ERIC, DWAYNE	Cfo	C	yes	08/2009	Jun 25, 2012	Sep 15, 2016
PATTON, ERIC, DWAYNE	CHIEF COMPLIANCE OFFICER	Na	yes	09/2009	Jun 25, 2012	Sep 15, 2016

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CENTURY CITY	CA	United States	n/a	no
GRAND JUNCTION	Co	United States	n/a	no
SAINT PETERSBURG	FL	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$363M	$349M	6	3	n/a	n/a	n/a
2014	Mar 30, 2015	$291M	$283M	23	18	n/a	n/a	n/a
2013	Mar 31, 2014	$278M	$265M	17	15	n/a	n/a	n/a
2012	Mar 28, 2013	$160M	$158M	17	15	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$363M	$291M	24.5%	$160M	31.3%	6	23	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTHSOURCE?	6	Dec 15, 2016	Apr 1, 2016	CENTENNIAL, CO	Firm absorbed	Other	75.0%
WEALTHSOURCE?	2	Jul 15, 2016	Mar 16, 2016	CENTENNIAL, CO	Team lift out	Other	18.2%

Relationships

Controls (3)

← PATTON, ERIC, DWAYNEOwnerCFO, ownership code C, individual
Jun 25, 2012 to presentfactForm ADV
← DUBRAVAC, JON, EDWARDOwnerCEO, ownership code C, individual
Jun 25, 2012 to presentfactForm ADV
← AVANT-GARDE WEALTH MANGEMENT INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 25, 2012 to presentfactForm ADV

Registered with (18)

← RONALD JENE HARVEYAdvisorregistration: previous registration
Oct 14, 2014 to Dec 15, 2016factForm ADV
← JACQUELINE BARBARA YAPPAdvisorregistration: previous registration
May 23, 2013 to Dec 15, 2016factForm ADV
← JEFFREY ALAN MURRAYAdvisorregistration: previous registration
Feb 19, 2015 to Dec 15, 2016factForm ADV
← BARBARA ALISON TRAYLOR SMITHAdvisorregistration: previous registration
Dec 6, 2013 to Dec 15, 2016factForm ADV
← CHRISTOPHER ANDRE BENSONAdvisorregistration: previous registration
Apr 21, 2015 to Dec 15, 2016factForm ADV
← TRAVIS LEE COOKAdvisorregistration: previous registration
Apr 26, 2011 to Dec 15, 2016factForm ADV
← BRYAN DAVID CANNONAdvisorregistration: previous registration
Aug 3, 2011 to Dec 15, 2016factForm ADV
← MARK ANDREW TEERLINCKAdvisorregistration: previous registration
Aug 24, 2010 to Dec 15, 2016factForm ADV
← LANE MARK WEINTRAUBAdvisorregistration: previous registration
Jul 13, 2011 to Oct 31, 2016factForm ADV
← ERIC JONATHAN LINSERAdvisorregistration: previous registration
Sep 21, 2012 to Jul 15, 2016factForm ADV
← RICHARD MONTGOMERY PATRICKAdvisorregistration: previous registration
Jun 25, 2012 to Jul 15, 2016factForm ADV
← Jimmy GonzalezAdvisorregistration: previous registration
Aug 17, 2015 to Jun 30, 2016factForm ADV
← THOMAS JOSEPH MANETTAAdvisorregistration: previous registration
Jun 18, 2012 to Jun 30, 2016factForm ADV
← RYAN L MORELLIAdvisorregistration: previous registration
Apr 21, 2015 to Feb 26, 2016factForm ADV
← JOSEPH ALMONAdvisorregistration: previous registration
Jan 9, 2012 to Jun 15, 2015factForm ADV
← JOHN THOMAS MONTGOMERYAdvisorregistration: previous registration
Apr 4, 2013 to Jul 25, 2013factForm ADV
← DANA FAMBROUGH BATHAdvisorregistration: previous registration
Jan 23, 2012 to Apr 18, 2013factForm ADV
← ROCK ALLEN MIRICHAdvisorregistration: previous registration
Jan 21, 2010 to Oct 22, 2010factForm ADV

Moved with (1)

→ WEALTHSOURCE?Registered adviser6 advisors, firm absorbed, same day
Dec 15, 2016 to Apr 1, 2016factForm ADV

Dated events

Occurred
Dec 12, 2013
Succession filed (Item 4)
Avant-Garde Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago
Occurred
Jun 25, 2012
First Form ADV filing
Avant-Garde Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:657a7575-2b6d-8a5b-9594-0de3b22704da
First observed: Jun 25, 2012
Last observed: Sep 15, 2016 121 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.

AVANT-GARDE ADVISORS LLC

CRD 151527

CENTENNIAL, 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:657a7575-2b6d-8a5b-9594-0de3b22704da

Data as of Sep 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AVANT-GARDE WEALTH MANGEMENT INC.

MANAGING MEMBER

yes

09/2009

Jun 25, 2012

Sep 15, 2016

DUBRAVAC, JON, EDWARD

Ceo

yes

07/2009

Jun 25, 2012

Sep 15, 2016

PATTON, ERIC, DWAYNE

Cfo

yes

08/2009

Jun 25, 2012

Sep 15, 2016

PATTON, ERIC, DWAYNE

CHIEF COMPLIANCE OFFICER

yes

09/2009

Jun 25, 2012

Sep 15, 2016

City

State

Country

Employees

Also broker-dealer

CENTURY CITY

United States

n/a

GRAND JUNCTION

United States

n/a

SAINT PETERSBURG

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$363M

$349M

n/a

2014

Mar 30, 2015

$291M

$283M

n/a

2013

Mar 31, 2014

$278M

$265M

n/a

2012

Mar 28, 2013

$160M

$158M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$363M

$291M

24.5%

$160M

31.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSOURCE?

Dec 15, 2016

Apr 1, 2016

CENTENNIAL, CO

Firm absorbed

Other

75.0%

WEALTHSOURCE?

Jul 15, 2016

Mar 16, 2016

CENTENNIAL, CO

Team lift out

Other

18.2%