DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

M••••• C••••••• L••

CRD 328303

DENVER, CO

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Search this name across graphsid dfx:ria:e9fba7d4-1294-f7d3-176d-1e153aac7001

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 9
On other graphs: 0
Observed: Aug 31, 2023 to Jul 14, 2026
14 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

M••••• I••••••••• G•••• I••

owned by this firm per Schedule A, named with its CRD in Item 7.A · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=10.0
Regulatory AUM: $107M••• Locked
Discretionary RAUM: $107M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $53.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• F••	n/a	DENVER, CO	2	15	4	yes
E•••••••• A•••	n/a	DENVER, CO	1	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• I••••••••• L••	Owner	B	yes	02/2024	Feb 26, 2024	Sep 25, 2024
B• S•••••• I••••••••• L••	Owner	B	yes	02/2024	Feb 26, 2024	Sep 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• F•••••••• M••••••••• L••	n/a	Institutional manager	$20B	N	yes	n/a
M••••• I••••••••• G•••• I••	n/a	Institutional manager	$10.0B	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Westwood	Ma	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 5, 2026

Advisor flows

••• Locked

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	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$107M	$36.1M	195.4%	n/a	n/a	32	32	2	2

Relationships

Affiliated with (3)

← M••••• I••••••••• G•••• I••Registered adviserother investment adviser, control, common control
factForm ADV
→ M••••• I••••••••• G•••• I••Registered adviserother investment adviser, LP sponsor, control
factForm ADV
→ M••••• F•••••••• M••••••••• L••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV

Registered with (2)

← E•••••••• A•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 14, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Nov 29, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 29, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9fba7d4-1294-f7d3-176d-1e153aac7001
First observed: Aug 31, 2023
Last observed: Jul 14, 2026 2 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.