DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

G5 FINANCIAL GROUP RIA, LLC

CRD 157344

GREENWOOD VILLAGE, 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:a493df5e-d19e-007e-3d73-39fccf4a4d60

Data as of Mar 22, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Mar 22, 2017
9 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: $131MItem 5.F on the latest filing (2017-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $131M
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: 3
Advisory employees: 3
Accounts: 399
SEC number: 801-72363
CRD: 157344
Filings on the tape: 9
First filed: Mar 12, 2012
Latest filed: Mar 22, 2017
Organised: Limited Liability Company, Colorado

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
ADRIAN, LOWELL, JAMES	MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	03/2011	Mar 12, 2012	Mar 22, 2017
FORSYTH, SCOTT, WALTER	Member	D	yes	03/2011	Mar 12, 2012	Mar 22, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	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
2016	Mar 22, 2017	$131M	$131M	3	3	n/a	n/a	n/a
2015	Mar 15, 2016	$142M	$142M	5	3	n/a	n/a	n/a
2014	Jan 29, 2015	$148M	$148M	5	3	n/a	n/a	n/a
2013	Mar 27, 2014	$139M	$139M	6	6	n/a	n/a	n/a
2012	Feb 25, 2013	$117M	$117M	6	6	n/a	n/a	n/a
2011	Mar 12, 2012	$108M	$108M	n/a	n/a	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
2016	$131M	$142M	-8.1%	$139M	-2.0%	3	5	n/a	n/a

Relationships

Controls (2)

← ADRIAN, LOWELL, JAMESOwnerMEMBER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 12, 2012 to presentfactForm ADV
← FORSYTH, SCOTT, WALTEROwnerMEMBER, ownership code D, individual
Mar 12, 2012 to presentfactForm ADV

Registered with (2)

← CINDY MARKER HEGYAdvisorregistration: previous registration
Apr 30, 2012 to Dec 21, 2017factForm ADV
← SCOTT WALTER FORSYTHAdvisorregistration: previous registration
May 19, 2011 to Nov 20, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a493df5e-d19e-007e-3d73-39fccf4a4d60
First observed: Mar 12, 2012
Last observed: Mar 22, 2017 115 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.

G5 FINANCIAL GROUP RIA, LLC

CRD 157344

GREENWOOD VILLAGE, 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:a493df5e-d19e-007e-3d73-39fccf4a4d60

Data as of Mar 22, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADRIAN, LOWELL, JAMES

MEMBER, CHIEF COMPLIANCE OFFICER

yes

03/2011

Mar 12, 2012

Mar 22, 2017

FORSYTH, SCOTT, WALTER

Member

yes

03/2011

Mar 12, 2012

Mar 22, 2017

City

State

Country

Employees

Also broker-dealer

Denver

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 22, 2017

$131M

n/a

2015

Mar 15, 2016

$142M

n/a

2014

Jan 29, 2015

$148M

n/a

2013

Mar 27, 2014

$139M

n/a

2012

Feb 25, 2013

$117M

n/a

2011

Mar 12, 2012

$108M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$131M

$142M

-8.1%

$139M

-2.0%

n/a