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CRD 127844
DENVER, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••••• J••••••••• A•• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2018 | Apr 6, 2018 | Dec 19, 2022 |
| C•••••• S•••••• P••• | PRESIDENT, D••••••• F•••• I••••• M••••••••• I••• AND ASSET MANAGEMENT AND TRUST, DIRECTOR | Na | yes | 12/2016 | Dec 15, 2016 | Dec 19, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D••• D••••••• • C•• | n/a | Independent wealth | $42B | N | yes | n/a |
| D••••••• I••••••••• A•••••••• I••• | n/a | Independent wealth | $5.2B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Portland | Or | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $687M | $1.1B | -37.7% | $1.0B | -13.0% | 7 | 7 | 1 | 1 |
| D••• D••••••• C•••••••• | Owner | E | yes | 01/2005 | Dec 26, 2014 | Dec 19, 2022 |
| M•••••••• L•••••••• T••• | CEO, D••• D••••••• C••••••••, DIRECTOR | Na | yes | 02/2022 | Nov 21, 2011 | Dec 19, 2022 |
| W•••••• S••••• M•••••• | Director | Na | yes | 11/2019 | Dec 18, 2019 | Dec 19, 2022 |
| D••• D••••••• T•••• C•••••• | Trustee | C | no | 09/2001 | Dec 26, 2014 | Dec 19, 2022 |
| E••••••• S•••• O•••••••• P••• A•• T•••• | Shareholder | C | no | 09/2001 | Dec 23, 2013 | Dec 19, 2022 |
| D••• D••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| Dec 19, 2022 |
| $687M |
| $687M |
| 7 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2021 | Dec 21, 2021 | $1.1B | $1.1B | 7 | 3 | 1 | n/a | n/a |
| 2020 | Dec 22, 2020 | $1.1B | $1.1B | 7 | 3 | 1 | n/a | n/a |
| 2019 | Dec 18, 2019 | $1.0B | $1.0B | 6 | 3 | 1 | n/a | n/a |
| 2018 | Dec 21, 2018 | $1.0B | $1.0B | 6 | 3 | 1 | n/a | n/a |
| 2017 | Dec 22, 2017 | $1.1B | $1.1B | 3 | 3 | 1 | n/a | n/a |
| 2016 | Dec 15, 2016 | $1.4B | $1.4B | 4 | 3 | n/a | n/a | n/a |
| 2015 | Dec 24, 2015 | $4.4B | $3.7B | 9 | 6 | n/a | n/a | n/a |
| 2014 | Dec 26, 2014 | $5.8B | $5.2B | 19 | 17 | n/a | n/a | n/a |
| 2013 | Dec 23, 2013 | $13B | $5.9B | 25 | 20 | n/a | n/a | n/a |
| 2012 | Dec 21, 2012 | $6.7B | $4.2B | 32 | 17 | n/a | n/a | n/a |
| 2011 | Nov 21, 2011 | $5.1B | $2.8B | n/a | n/a | n/a | n/a | n/a |