DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

H••••••• S••••• P•••••• W••••• L••

CRD 143857

DENVER, CO

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Search this name across graphs

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 18
On other graphs: 0
Observed: Apr 2, 2012 to Mar 27, 2026
24 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0
Regulatory AUM: $4.1B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• I••••••••• G•••• I•••	Member	E	yes	10/2022	Nov 7, 2022	Mar 22, 2024
C••••••• V• A••••••••• L••	Member	E	yes	10/2022	Nov 7, 2022	Mar 22, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$4.1B	$4.6B	-9.9%	$5.7B	-10.1%	35	32	3	2

Relationships

Controls (11)

← Q•••• M•••• D••••••OwnerCEO, ownership code NA, individual
Apr 2, 2012 to Mar 22, 2024factForm ADV
← F•••• W••••••• R••••••OwnerELECTED MANAGER, ownership code F, individual
Apr 2, 2012 to Mar 22, 2024factForm ADV
← P•••••••• B••••• S••••OwnerCFO/COO, ownership code NA, individual
Mar 23, 2022 to Mar 22, 2024factForm ADV
← F••••••• C••••• R•••OwnerCIO, ownership code NA, individual
Apr 2, 2012 to Mar 22, 2024fact

Dated events

Order

Occurred
27 Mar 2026
Ria indirect owner change4 events
H••••••• S••••• P•••••• W••••• L••: ria indirect owner change, 4 events, on 27 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
17 Jul 2023
Control person joined
••• Locked
Form ADV
Occurred
17 Jul 2023
Control person left
••• Locked
Form ADV
Occurred
7 Nov 2022
Control person left2 events
H••••••• S••••• P•••••• W••••• L••: control person left, 2 events, on 7 Nov 2022
- ••• Locked
- ••• Locked
Occurred
7 Nov 2022
Control person joined2 events
H••••••• S••••• P•••••• W••••• L••: control person joined, 2 events, on 7 Nov 2022
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2012
Last observed: Mar 27, 2026 6 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Q•••• M•••• D••••••	Ceo	Na	yes	01/2011	Apr 2, 2012	Mar 22, 2024
V•••••• J••••••• R•••	Cco	Na	yes	07/2023	Jul 17, 2023	Mar 22, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 24, 2016	$670M	$670M	8	8	n/a	n/a	n/a
2014	May 1, 2015	$158M	$158M	7	7	n/a	n/a	n/a
2013	Mar 19, 2014	$47.3M	$47.3M	8	8	n/a	n/a	n/a
2012	Mar 28, 2013	$12.0M	$12.0M	8	8	n/a	n/a	n/a
2011	Apr 2, 2012	$2.2M	$2.2M	n/a	n/a	n/a	n/a	n/a