DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

A••••• P•••••• C••••••• L••

CRD 286031

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:d164daa7-fc52-e964-ec5a-da98d7853f34

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Nov 16, 2016 to Mar 28, 2025
11 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: $4.4M••• Locked
Discretionary RAUM: $4.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• G••••••••• F••• I• L••	Other Private Fund	$3.1M	Mar 13, 2024	49	Mar 28, 2018	reported	021-289233
A••••• L••••••••• F•••••• F•••• L•	Other Private Fund	$2.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• A•••• J•••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	Mar 22, 2019	Mar 13, 2024
B•••••••• M••••••• W•••••	Member	D	yes	11/2016	Nov 16, 2016	Mar 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• C•••••• P•••••••• L••	n/a	Former SEC adviser	$1.6B	Y	yes	n/a
B••• S•• A•••• M••••••••• L••	n/a	Asset manager	$98.6M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$4.4M	$5.5M	-19.0%	$8.4M	-19.2%	2	2	0	0

Relationships

Affiliated with (3)

← A••• C•••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A••• C•••••• P•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ B••• S•• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ A••••• L••••••••• F•••••• F•••• L•

Dated events

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

Occurred
Mar 22, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 22, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 16, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d164daa7-fc52-e964-ec5a-da98d7853f34
First observed: Nov 16, 2016
Last observed: Mar 28, 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.