DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

A•••• P••••••••• L••

CRD 317053

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:ac313514-946e-43c9-6f79-ae9470c3b94f

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 14
On other graphs: 0
Observed: Oct 1, 2021 to Mar 31, 2025
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: $253M••• Locked
Discretionary RAUM: $108M
Private client RAUM: $252Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••••• F••• B• A•••• P••••••••• L•	Hedge Fund	$7.0M	Aug 22, 2023	7	Oct 1, 2021	dropped	021-426498
F••••••• F••• B• A•••• P••••••••• L•	Hedge Fund	$3.2M	Apr 8, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• B••••• E•••••	EXECUTIVE VICE PRESIDENT	Na	yes	08/2022	May 9, 2023	Oct 30, 2024
H•••••• J•••• F•••••••	CHIEF OPERATIONS OFFICER	Na	yes	11/2021	Dec 3, 2021	Oct 30, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 31, 2025

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	2	-2	n/a	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$253M	$270M	-6.1%	$61.8M	60.0%	6	6	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••••••• W••••• A•••••••• L••	2	Sep 25, 2025	May 5, 2025	ENGLEWOOD, CO	Team lift out	RIA to RIA	100.0%

Relationships

Advises (2)

→ F••••••• F••• B• A•••• P••••••••• L•Private fundHedge Fund, IA
Oct 1, 2021 to presentfactForm ADV
→ L••••••• F••• B• A•••• P••••••••• L•Private fundHedge Fund, IA, no longer reported
Oct 1, 2021 to Aug 22, 2023factForm ADV

Registered with (2)

← E••• T••••• K••••••Advisorregistration: previous registration
Dec 5, 2021 to Sep 25, 2025factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 25, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Sep 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac313514-946e-43c9-6f79-ae9470c3b94f
First observed: Oct 1, 2021
Last observed: Mar 31, 2025 18 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.