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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

METIS, L.L.C.

CRD 161075

LITTLETON, 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:888c4be3-268a-c91b-5fd9-c73d078e99a4

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2012 to Mar 30, 2015
6 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: $20.6MItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20.6M
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: 8
Advisory employees: 3
Accounts: 145
SEC number: 801-74286
CRD: 161075
Filings on the tape: 6
First filed: Feb 16, 2012
Latest filed: Mar 30, 2015
Organised: Limited Liability Company

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
AUER, DAVID, BRUCE	Shareholder	C	yes	03/2014	Apr 30, 2014	Mar 30, 2015
WAMBOLT, GREGORY, ALAN	Shareholder	C	yes	03/2014	Apr 30, 2014	Mar 30, 2015
WAMBOLT, GREGORY, ALAN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2014	Apr 30, 2014	Mar 30, 2015
TRILOGY ADVISOR NETWORK INC.	Owner	E	no	03/2014	Apr 30, 2014	Mar 30, 2015
TRILOGY FINANCIAL GROUP, INC.	MANAGING MEMBER	E	no	04/2014	Apr 30, 2014	Mar 30, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WAMBOLT & ASSOCIATES, LLC	n/a	Former SEC adviser	$587M	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Tulsa	Ok	United States	n/a	no
Charlestown	n/a	Saint Kitts and Nevis	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
2014	Mar 30, 2015	$20.6M	$20.6M	8	3	n/a	n/a	n/a
2013	Mar 25, 2014	$68.7M	$68.7M	1	1	n/a	n/a	n/a
2012	Mar 18, 2013	$78.6M	$73.6M	1	1	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
2014	$20.6M	$68.7M	-70.1%	n/a	n/a	8	1	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
CENTRIC INVESTMENT GROUP INC	2	Apr 2, 2015	Jun 21, 2016	LITTLETON, CO	Team lift out	Other	100.0%

Relationships

Affiliated with (1)

→ WAMBOLT & ASSOCIATES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← AUER, DAVID, BRUCEOwnerSHAREHOLDER, ownership code C, individual
Apr 30, 2014 to presentfactForm ADV
← WAMBOLT, GREGORY, ALANOwnerSHAREHOLDER, ownership code C, individual
Apr 30, 2014 to presentfactForm ADV

Owns (2)

← TRILOGY ADVISOR NETWORK INC.OwnerOWNER, ownership code E, domestic entity
Apr 30, 2014 to presentfactForm ADV
← TRILOGY FINANCIAL GROUP, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 30, 2014 to presentfactForm ADV

Moved with (1)

→ CENTRIC INVESTMENT GROUP INCRegistered adviser2 advisors, team lift out, same day
Apr 2, 2015 to Jun 21, 2016factForm ADV

Registered with (2)

← GREGORY ALAN WAMBOLTAdvisorregistration: previous registration
May 5, 2014 to Apr 2, 2015factForm ADV
← CYNTHIA DIANE ALVAREZAdvisorregistration: previous registration
Jun 4, 2014 to Apr 2, 2015factForm ADV

Dated events

Occurred
Apr 30, 2014
Succession filed (Item 4)
Metis, L.L.C. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:888c4be3-268a-c91b-5fd9-c73d078e99a4
First observed: Feb 16, 2012
Last observed: Mar 30, 2015 139 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.

METIS, L.L.C.

CRD 161075

LITTLETON, 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:888c4be3-268a-c91b-5fd9-c73d078e99a4

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUER, DAVID, BRUCE

Shareholder

yes

03/2014

Apr 30, 2014

Mar 30, 2015

WAMBOLT, GREGORY, ALAN

Shareholder

yes

03/2014

Apr 30, 2014

Mar 30, 2015

WAMBOLT, GREGORY, ALAN

CHIEF COMPLIANCE OFFICER

yes

04/2014

Apr 30, 2014

Mar 30, 2015

TRILOGY ADVISOR NETWORK INC.

Owner

03/2014

Apr 30, 2014

Mar 30, 2015

TRILOGY FINANCIAL GROUP, INC.

MANAGING MEMBER

04/2014

Apr 30, 2014

Mar 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WAMBOLT & ASSOCIATES, LLC

n/a

Former SEC adviser

$587M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Tulsa

United States

n/a

Charlestown

n/a

Saint Kitts and Nevis

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$20.6M

n/a

2013

Mar 25, 2014

$68.7M

n/a

2012

Mar 18, 2013

$78.6M

$73.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$20.6M

$68.7M

-70.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CENTRIC INVESTMENT GROUP INC

Apr 2, 2015

Jun 21, 2016

LITTLETON, CO

Team lift out

Other

100.0%