DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

J•••••• I••••••••• M••••••••• L••

CRD 147506

DENVER, CO

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Search this name across graphsid dfx:ria:d5debcbe-5824-f0d7-78c4-8b3a55fa7b49

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Custody, client assets: $0
SEC number: 801-69339
CRD: 147506
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• •••••••• I••	Shareholder	E	yes	04/2006	Mar 30, 2012	Mar 30, 2012
B••••• H•••••••• L••	SOLE MEMBER	E	yes	06/2008	Mar 30, 2012	Mar 30, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••••• N••••••• A•••• M••••••••• L••	n/a	Asset manager	$246B	N	yes	n/a
C••••• C••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (6)

→ J•••••• N••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ I••••••••• C•••••• O• A••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5debcbe-5824-f0d7-78c4-8b3a55fa7b49
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 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.

Controls (14)

← D•••••••• L••••• J••••OwnerV.P. AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← Y••••• S•••••• B••••OwnerPRESIDENT AND MEMBER BOARD OF MANAGERS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← J•••• C•••••••• J••••OwnerMEMBER BOARD OF MANAGERS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← M••••• P•••• C•••••••OwnerMEMBER BOARD OF MANAGERS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← M••••• T•••••• J•••OwnerMEMBER BOARD OF MANAGERS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← F•••••• J••••• R••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• M••••• K••••••OwnerSVP, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← B••••• •••••••• I••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← B••••• H•••••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← B••••• U• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← N••••• F••••••• I••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← P••••••••• •• H••••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← P••••••••• P••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← P••••••••• U• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV