DFX Intelligence

N••••••• V•••••••• C••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

N••••••• V•••••••• C••••••••• I••

N••••••• V•••••••• C••••••••• I•••, CRD 164739

CENTENNIAL, CO

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Search this name across graphsid dfx:ria:bf7be6fd-a0c9-44a4-56b9-8c6997763a40

Data as of Feb 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 2
On other graphs: 0
Observed: Jul 30, 2012 to Feb 3, 2025
16 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 6
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• L••••• W••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	01/2012	Jul 30, 2012	Apr 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• V•••••••• C••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Rutherford	Nj	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 3, 2025	$0	$0	6	5	1	n/a	n/a
2023	Apr 1, 2024

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	$0	n/a	n/a	n/a	n/a	6	6	1	1

Relationships

Controls (1)

← S••••• L••••• W••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 30, 2012 to Apr 1, 2024factForm ADV

Dated events

Occurred
Jul 1, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
0 USD_RAUM
Occurred
Jul 30, 2012
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf7be6fd-a0c9-44a4-56b9-8c6997763a40
First observed: Jul 30, 2012
Last observed: Feb 3, 2025 19 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.