DFX Intelligence

R•••• M••••••• P••••••• G••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

R•••• M••••••• P••••••• G••••• I••

CRD 114507

AVON, CO

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Search this name across graphsid dfx:ria:e694c492-2668-545a-bce5-bc5cfc5b5497

Data as of Feb 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 3, 2012 to Feb 3, 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
Regulatory AUM: $52.8M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 202
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••••••• G••••• C••••••••	President	E	yes	01/1996	Feb 3, 2012	Feb 3, 2012
H•••• B••••••• A•	CHIEF COMPLIANCE OFFICER	Na	no	01/2007	Feb 3, 2012	Feb 3, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 3, 2012	$52.8M	$0	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	$52.8M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• A•••• M••••••••• L••	2	Aug 12, 2022	Aug 15, 2022	AVON, CO	Team lift out	Other	100.0%

Relationships

Controls (1)

← W••••••••• G••••• C••••••••OwnerPRESIDENT, ownership code E, individual
Feb 3, 2012 to presentfactForm ADV

Owns (1)

← H•••• B••••••• A•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV

Moved with (1)

→ C••••••• A•••• M••••••••• L••Registered adviser2 advisors, team lift out
Aug 12, 2022 to Aug 15, 2022factForm ADV

Registered with (2)

Dated events

Occurred
Aug 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 12, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Aug 12, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e694c492-2668-545a-bce5-bc5cfc5b5497
First observed: Feb 3, 2012
Last observed: Feb 3, 2012 178 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.