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

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

3•• I••••••••• P•••••••• L••

CRD 298743

DENVER, CO

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Search this name across graphsid dfx:ria:917d5344-acaa-d702-d317-9e97290d266c

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Sep 24, 2018 to Mar 26, 2021
7 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: $857,107••• Locked
Discretionary RAUM: $857,107
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
3•• S••••• I••••••••• F••• I• L•	Other Private Fund	$1.6M	Mar 26, 2021	1	Sep 24, 2018	reported	021-330031

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
3•• C•••••• L••	MANAGING MEMBER	E	yes	05/2018	Sep 24, 2018	Mar 26, 2021
F•••••••• M••••• M•••••••	PRESIDENT, SECRETARY	E	yes	03/2004	Sep 24, 2018	Mar 26, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
3•• C•••••• L••	n/a	Former SEC adviser	$734M	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 26, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$857,107	$1.1M	-18.4%	n/a	n/a	2	2	0	0

Relationships

Affiliated with (1)

→ 3•• C•••••• L••Registered adviserother investment adviser, bank, control
factForm ADV

Advises (1)

→ 3•• S••••• I••••••••• F••• I• L•Private fundOther Private Fund, IA
Sep 24, 2018 to presentfactForm ADV

Controls (4)

← 3•• C•••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Sep 24, 2018 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2020
Control person left
Earl Thomas Cain (Trustee) no longer on Schedule A of 3•• I••••••••• P•••••••• L•• (listed 2019-03-21, absent 2020-03-30)
Form ADVobserved 7 days ago
Occurred
Sep 24, 2018
First Form ADV filing
3•• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:917d5344-acaa-d702-d317-9e97290d266c
First observed: Sep 24, 2018
Last observed: Mar 26, 2021 66 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.