DFX Intelligence

H••••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••••••• A•••• M••••••••• L••

CRD 159535

DENVER, 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:7683e8be-3697-6063-1399-7ae8138a991c

Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 18, 2020 to May 29, 2026
10 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $218M••• Locked
Discretionary RAUM: $218M
Private client RAUM: $218Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $109Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E•••• S•••• B••••	Chartered Financial Analyst	DENVER, CO	14	26	2	no
S•••••••• E••••••••• E•••••	Chartered Financial Analyst	DENVER, CO	8	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• E••••• S••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	12/2011	Feb 18, 2020	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• E• E•••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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
2025	$218M	$157M	39.3%	$162M	10.4%	2	2	0	0

Relationships

Registered with (2)

← S•••••••• E••••••••• E•••••Advisorregistration: current employment
Jan 2, 2018 to presentfactForm ADV
← E•••• S•••• B••••Advisorregistration: current employment
Dec 5, 2011 to presentfactForm ADV

Controls (1)

← B••••• E••••• S••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 18, 2020 to Mar 20, 2024factForm ADV

Dated events

Occurred
Feb 18, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7683e8be-3697-6063-1399-7ae8138a991c
First observed: Feb 18, 2020
Last observed: May 29, 2026 3 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.