DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••• P••• C••••••• L••

CRD 321648

BROOMFIELD, CO

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Search this name across graphsid dfx:ria:6639ddab-722b-315c-aeba-c271953f3728

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 2
Observed: Jul 28, 2026 to Jul 28, 2026
1 observations

Across DFX

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

Private Equityidentity

S••• P••• C••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S••• P••• C••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $174M••• Locked
Discretionary RAUM: $174M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• P••• C•••••• G•• S••• L•	Private Equity Fund	$38.4M	Mar 26, 2024	2	Mar 26, 2024	reported	n/a
S••• P••• M•••••••• H•••••••• L••	Private Equity Fund	$2.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• A••••••• J•••	Partner	C	yes	01/2020	Jul 28, 2026	Jul 28, 2026
E••••• M••••••	PARTNER AND CHIEF FINANCIAL OFFICER	B	yes	01/2020	Jul 28, 2026	Jul 28, 2026

Relationships

Controls (3)

← E••••• M••••••OwnerPARTNER AND CHIEF FINANCIAL OFFICER, ownership code B, individual
Jul 28, 2026 to presentfactForm ADV
← Y••••• S•••••• C••••OwnerMANAGING PARTNER, ownership code D, individual
Jul 28, 2026 to presentfactForm ADV
← C•••••••• A••••••• J•••OwnerPARTNER, ownership code C, individual
Jul 28, 2026 to presentfactForm ADV

Advises (3)

→ S••• P••• D•••• G•• H•••••••• L••Private fund

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6639ddab-722b-315c-aeba-c271953f3728
First observed: Jul 28, 2026
Last observed: Jul 28, 2026 56 days 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.