DFX Intelligence

C••••• R•••• A••••••• 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

C••••• R•••• A••••••• L••

CRD 173394

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:929c4258-7892-f76e-ba14-aea75e32d921

Data as of Jan 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 12, 2018 to Jan 29, 2020
20 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: $29.0M••• Locked
Discretionary RAUM: $29.0M
Private client RAUM: $29.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $14.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• J••• E••••	n/a	ENGLEWOOD, CO	5	27	1	no
R••••• S•••••• B••••	n/a	ENGLEWOOD, CO	5	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• J••••• J•••	PRESIDENT/ CHIEF COMPLIANCE OFFICER	E	yes	09/2014	Oct 12, 2018	Jan 29, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 11, 2019	$133M	$32.3M	4	4	0	n/a	n/a

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
2018	$29.0M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Registered with (2)

← J•••• J••• E••••Advisorregistration: previous registration
Jan 26, 2015 to Dec 31, 2019factForm ADV
← R••••• S•••••• B••••Advisorregistration: previous registration
Dec 22, 2016 to Dec 31, 2019factForm ADV

Controls (1)

← E••••• J••••• J•••OwnerPRESIDENT/ CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 12, 2018 to presentfactForm ADV

Dated events

Occurred
Oct 8, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-104M
Occurred
Oct 12, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:929c4258-7892-f76e-ba14-aea75e32d921
First observed: Oct 12, 2018
Last observed: Jan 29, 2020 80 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.