DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 309116
CASTLE ROCK, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRIAN THOMAS HARVEY | Chartered Financial Analyst | CASTLE ROCK, CO | 6 | 12 | n/a | no |
| CHRISTOPHER SEAN MCQUILLAN | n/a | CASTLE ROCK, CO | 5 | 18 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JAEGER, MARK, FREDERICK | MANAGING MEMBER, CCO | D | yes | 04/2020 | Apr 27, 2020 | Feb 6, 2024 |
| RIDDLE, JOHN, RAY | MANAGING MEMBER | D | yes | 04/2020 | Apr 27, 2020 | Feb 6, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 | $349M | $349M | 6 | 4 | 0 | n/a | n/a |
| 2024 | Jan 31, 2025 | $344M | $344M | 6 | 4 | 0 | n/a | n/a |
| 2023 | Feb 6, 2024 | $272M | $272M | 6 | 4 | 0 | n/a | n/a |
| 2022 | Feb 15, 2023 | $235M | $235M | 6 | 4 | 0 | n/a | n/a |
| 2021 | Feb 16, 2022 | $295M | $295M | 6 | 4 | 0 | n/a | n/a |
| 2020 | Mar 1, 2021 | $265M | $265M | 5 | 3 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $349M | $344M | 1.5% | $235M | 14.0% | 6 | 6 | 0 | 0 |