DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

I••••••••• F•••••••• P•••••••• P•••

CRD 113253

DURANGO, CO

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Search this name across graphsid dfx:ria:e7925ee8-a5c5-f86e-187a-f9bfdd85eb7b

Data as of Jan 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 17, 2019 to Jan 29, 2021
9 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: $143M••• Locked
Discretionary RAUM: $0
Private client RAUM: $143Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• P•••• A•••	PRESIDENT/CCO	E	yes	12/1998	May 17, 2019	Jan 29, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 29, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$143M	$122M	17.4%	n/a	n/a	3	2	1	1

Relationships

Controls (1)

← L••••• P•••• A•••OwnerPRESIDENT/CCO, ownership code E, individual
May 17, 2019 to presentfactForm ADV

Registered with (1)

← S•••••• P••• W••••••••Advisorregistration: previous registration
Aug 8, 2016 to Jul 21, 2021factForm ADV

Dated events

Occurred
May 17, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7925ee8-a5c5-f86e-187a-f9bfdd85eb7b
First observed: May 17, 2019
Last observed: Jan 29, 2021 68 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.