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

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

P•••••••• D••••• A•••••••• I•••

CRD 137789

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:b0deac8e-3e32-aa78-1edb-08ead8cad104

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Mar 14, 2012 to Mar 28, 2024
32 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: $38.9MItem 5.F on the latest filing (2024-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $38.9M
Private client RAUM: $38.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
G•• H•••••••• I•••	Stockholder	E	yes	01/2009	Mar 14, 2012	Mar 28, 2024
R••••• D•••• A••••	President	Na	yes	01/2014	Jul 6, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• W••••• M••••••••• I•••	n/a	Bd affiliated wealth	$9.2B	Y	yes	n/a

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

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
2023	$38.9M	$40.2M	-3.2%	$54.9M	-10.8%	4	4	0	0

Relationships

Affiliated with (1)

→ G••••• W••••• M••••••••• I•••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Owns (1)

← S•••••••• J•••••••• L•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 29, 2012 to presentfactForm ADV

Controls (2)

← R••••• D•••• A••••OwnerPRESIDENT, ownership code NA, individual
Jul 6, 2012 to presentfactForm ADV
←

Dated events

Occurred
Jul 2, 2024
Advisor departed, no destination yet
Dean Allen Rager no longer registered at P•••••••• D••••• A•••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Paul Thomas Knipping left P•••••••• D••••• A•••••••• I••• for Lido (registered 2024-12-02)
Form ADVobserved 7 days ago
Occurred
Jul 2, 2024
Advisor departed, no destination yet
Wesley Lee Strode no longer registered at P•••••••• D••••• A•••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0deac8e-3e32-aa78-1edb-08ead8cad104
First observed: Mar 14, 2012
Last observed: Mar 28, 2024 30 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.