DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

W••••••••• M••••••••• I••••••••• L•

CRD 137554

BOULDER, CO

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Data as of Apr 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2012 to Apr 30, 2017
17 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: $801,000••• Locked
Discretionary RAUM: $801,000
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W••••••••• D••••••• G••••• F••• L•	Hedge Fund	$7.4M	Sep 5, 2012	12	Apr 20, 2012	dropped	021-1344546
W••••••••• D••••••• G••••• L••	Hedge Fund	$881,803	Sep 5, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• T•••••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2016	May 3, 2016	Apr 30, 2017
H••••••• J•••• G•	CHIEF OPERATING OFFICER	Na	yes	01/2011	Apr 1, 2013	Apr 30, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• C•••••• M••••••••• I••••••••• L•	n/a	Asset manager	$2.0B	N	yes	n/a
W••••••••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$5.1M	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$801,000	$5.7M	-86.0%	$8.0M	-53.6%	4	4	n/a	n/a

Relationships

Affiliated with (2)

→ W••••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ W••••••••• C•••••• M••••••••• I••••••••• L•Registered adviserother investment adviser, common control
factForm ADV

Advises (3)

→ W••••••••• D••••••• G••••• M••••• F••• L••Private fundHedge Fund, IA
Apr 20, 2012 to presentfactForm ADV
→

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 20, 2012
Last observed: Apr 30, 2017 114 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.