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Former SEC-registered adviser

S•••• B•••••• A••••••••• I••

Former SEC-registered adviserDurham, North CarolinaCRD 104628SEC 801-17567IAPD
Latest filing Mar 27, 2013
First filing on the tape Apr 2, 2012 · 3 filings
RAUM
$7.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$463M gross assets
History
3 filings and snapshots on the tape
RAUM$7.8B as of Mar 27, 2013
Apr 2, 2012$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 55
Private funds10 as of Mar 27, 2013
Apr 2, 20129 then
RAUM +6.8% over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$200MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$13.2M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
39reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.2M for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• D•••••• R••••••••• · Director/ Executive Vice President/Director Of The Investment Management Groupcontrol
        since 01/2009 · owns less than 5%
      • A••••••••• A••• C•••• · Principal/Director Of Securities Operations & Technologycontrol
        since 01/2006 · owns less than 5%
      • E••••• S••••••• A••••• · Director/Executive Vice President/Director Of Marketing And Client Servicecontrol
        since 04/1988 · owns 10% to 25%
      • G•••••• M••••••• J••••• · Director/Chairman/President/Chief Executive Officercontrol
        since 07/1986 · owns 10% to 25%
      • H••••••••• A••••• K•••••• · Principal/Chief Compliance Officer/Secretarycontrol
        since 04/2012 · owns less than 5%
      • M•••••• J•••••••• P• · Principal/Chief Financial Officer/Assistant Secretarycontrol
        since 12/2010 · owns less than 5%
      • S••••• J•••• B••••• · Director/Executive Vice President/Chief Risk Officercontrol
        since 01/2009 · owns 5% to 10%
      • G•••••• M••••••• J••••• · Trusteecontrol
        since 01/2003 · owns 75% or more of M•••••• J. G••••• R•••••••• Trust
      • B•••• C•••• D• · Director/Principal
        since 10/2011 · owns less than 5%
      • B••••••• D••••••• T•••• · Chairman Emeritus
        since 06/2005 · owns 5% to 10%
      • D•••••• D•••••• C• · Principal/Chief Investment Officer
        since 08/1987 · owns 5% to 10%
      • F••••• E••••• · Shareholder
        since 04/2005 · owns 5% to 10%
      • J•••••• L••••• T••••••••• · Director
        since 12/1997 · owns less than 5%
      • R•••• T••••••• D•••••• · Director/Principal
        since 02/2008 · owns 10% to 25%
      Entity owners
      • M•••••• J• G••••• R•••••••• T•••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Boulder, CO
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 39
        Apr 27, 2012 to Mar 27, 2013
      • Advisory employees · unset to 20.0
        Apr 27, 2012 to Mar 27, 2013
      • Assets in custody · $5.1M to $13.2M
        Apr 27, 2012 to Mar 27, 2013
      • Employees · unset to 55.0
        Apr 27, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Apr 27, 2012 to Mar 27, 2013
      • Private funds · 9 to 10
        Apr 27, 2012 to Mar 27, 2013
      • Discretionary RAUM · $7.3B to $7.8B
        Apr 27, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $13.8M to $0
        Apr 27, 2012 to Mar 27, 2013
      • RAUM · $7.3B to $7.8B
        Apr 27, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026