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C••••••••• I••••••••• M••••••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

C••••••••• I••••••••• M••••••••• C••••••

CRD 107084

DENVER, CO

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Search this name across graphsid dfx:ria:841976b6-7cc2-95a0-77ed-4443c458246d

Data as of Dec 16, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Nov 11, 2011 to Dec 16, 2016
11 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: $16BItem 5.F on the latest filing (2016-12-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
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

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
B•••••• G•• C•••	C••••••••• SVP OPERATIONS, CIM BOARD MEMBER	Na	yes	04/2011	Nov 11, 2011	Dec 16, 2016
C••••••••• I•••	CORPORATE PARENT	E	yes	04/2011	Nov 11, 2011

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

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	$16B	$19B	-11.3%	$18B	-2.5%	16	16	n/a	n/a

Relationships

Controls (10)

← L•••••• K•••••••• M•••••••••OwnerCIM PRESIDENT AND CIO, CIM BOARD MEMBER, ownership code NA, individual
Nov 11, 2011 to presentfactForm ADV
← G••••••• M•••• E••••••••OwnerCIM VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2016 to presentfactForm ADV
← P•••••• R•••• K••••OwnerCIM BOARD MEMBER, ownership code NA, individual
Nov 11, 2011 to presentfactForm ADV
← E••••• R•• S••••••OwnerC••••••••• EVP AND CFO, CIM BOARD MEMBER, ownership code NA, individual
Nov 11, 2011 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:841976b6-7cc2-95a0-77ed-4443c458246d
First observed: Nov 11, 2011
Last observed: Dec 16, 2016 118 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.