DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M••• L••

CRD 336172

BOULDER, CO

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Search this name across graphsid dfx:ria:ac10aa82-ab9b-35a3-8f0a-f1b3a06b29f2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 2
Observed: May 27, 2025 to Mar 31, 2026
4 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

M••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

M••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.1 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $322M••• Locked
Discretionary RAUM: $284M
Private client RAUM: $288Mderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $322Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••• S••••••	n/a	BOULDER, CO	0	33	2	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••••• F••• I•• L•	Private Equity Fund	$12.1M	Mar 31, 2026	49	Mar 31, 2026	reported	021-377322
A••••• F••• I••• L•	Private Equity Fund	$8.2M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• M••••• M•••••••	MANAGING MEMBER, FOUNDER, CHIEF OPERATIONS OFFICER & CHIEF COMPLIANCE OFFICER	D	yes	04/2025	Mar 31, 2026	Mar 31, 2026
S••••••• M••••••• J•••	MANAGING MEMBER, FOUNDER & CHIEF EXECUTIVE OFFICER	C	yes	04/2025	Mar 31, 2026	Mar 31, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$322M	$284M	6	3	0	5	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
1	0	1	0.0%	0	0	0	1	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
2025	$322M	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Relationships

Advises (5)

→ L••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ L••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ A••••• F••• I••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ A••••• F••• I•• L•Private fund

Dated events

Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$973,272
Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$6.0M
Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$12.1M
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac10aa82-ab9b-35a3-8f0a-f1b3a06b29f2
First observed: May 27, 2025
Last observed: Mar 31, 2026 5 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.