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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

L•••••• C•••••• C•••••••••

L•••••• C•••••• CORP, CRD 18189

DENVER, CO

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Search this name across graphsid dfx:ria:fa594353-bb41-7be0-f0de-d1259db8676c

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Mar 4, 2026
26 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $170MItem 5.F on the latest filing (2026-03-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $170M
Private client RAUM: $170MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• M••••• C•••••	Certified Financial Planner	DENVER, CO	27	43	1	yes
G••••• T••••• O••••••••	n/a	DENVER, CO	16	36

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• A••• M•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	01/1989	Apr 3, 2012	Sep 11, 2024
C•••••• K••••••• H••••••	Secretary	Na	no	01/1989	Apr 3, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 17

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$170M	$156M	8.8%	$180M	-1.9%	4	4	0	0

Relationships

Registered with (7)

← G••••• T••••• O••••••••Advisorregistration: current employment
May 3, 2010 to presentfactForm ADV
← A••• M••••• C•••••Advisorregistration: current employment
Jan 1, 1999 to presentfactForm ADV
← CATHY LOUISE NOWALKAdvisorregistration: previous registration
Jan 6, 2015 to Jan 29, 2020factForm ADV
← PATRICK JOHN CLEARY

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa594353-bb41-7be0-f0de-d1259db8676c
First observed: Apr 3, 2012
Last observed: Mar 4, 2026 6 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.

2025	Mar 4, 2026	$170M	$170M	4	2	0	n/a	n/a
2024	Mar 24, 2025	$156M	$156M	4	3	0	n/a	n/a
2023	Mar 18, 2024	$151M	$151M	4	3	0	n/a	n/a
2022	Apr 25, 2023	$180M	$180M	4	3	0	n/a	n/a
2021	Mar 21, 2022	$203M	$169M	4	3	0	n/a	n/a
2020	Mar 18, 2021	$185M	$155M	4	3	0	n/a	n/a
2019	May 19, 2020	$185M	$134M	4	3	0	n/a	n/a
2018	Apr 2, 2019	$150M	$88.3M	4	4	0	n/a	n/a
2017	Apr 2, 2018	$153M	$62.4M	4	4	0	n/a	n/a
2016	Apr 29, 2017	$148M	$0	4	1	n/a	n/a	n/a
2015	Mar 31, 2016	$143M	$0	4	1	n/a	n/a	n/a
2014	May 15, 2015	$142M	$0	4	1	n/a	n/a	n/a
2013	Apr 18, 2014	$149M	$0	4	1	n/a	n/a	n/a
2012	May 3, 2013	$156M	$0	4	1	n/a	n/a	n/a
2011	Apr 3, 2012	$145M	$0	n/a	n/a	n/a	n/a	n/a