DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

A••••••• I•••••••••

CRD 112924

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:cbdf62b2-4c2c-089b-4a48-f9c0b9d084f1

Data as of Dec 9, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2025 to Dec 9, 2025
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $74.1M••• Locked
Discretionary RAUM: $74.1M
Private client RAUM: $74.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• R••• R•••••	n/a	Castle Rock, CO \| ENGLEWOOD, CO	4	14	n/a	no
C••••• N••• L•••••••	n/a	HIGHLANDS RANCH, CO	1	31

Relationships

Registered with (2)

← C••••• N••• L•••••••Advisorregistration: current employment
Jun 18, 2025 to presentfactForm ADV
← P••• R••• R•••••Advisorregistration: current employment
Oct 7, 2021 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cbdf62b2-4c2c-089b-4a48-f9c0b9d084f1
First observed: Dec 9, 2025
Last observed: Dec 9, 2025 9 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.