DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

H••••• F•••••••• G••••• I•••

Former SEC-registered adviserBoulder, ColoradoCRD 105032SEC 801-33557IAPD
Latest filing Mar 20, 2024
First filing on the tape Mar 27, 2012 · 24 filings
RAUM
$316M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$309M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$316M as of Mar 20, 2024
Mar 27, 2012$102M then
HNW client RAUM$262M as of Mar 20, 2024
Mar 28, 2018$139M then
State-registered IARs (5.B.3)0 as of Mar 20, 2024
Mar 27, 20120 then
Employees (5.A)7 as of Mar 20, 2024
Mar 27, 20137 then
Private funds: no history
RAUM +12% over the last fiscal year+4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2024; 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
$2.8MderivedHNW RAUM over HNW clients
Average account
$357,954derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
2.4%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
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$262M83%
  • Individuals$46.9M15%
  • Pension and profit-sharing plans$7.6M2.4%
  • Corporations and businesses$64,6060.0%
Individual clients
129reported
HNW clients
92reported
Pension plan clients
4reported
Charitable clients
0reported
Accounts
884reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • B••••• J•••••••• M••••• · Financial Planning Manager & Wealth Managercontrol
      since 01/2021 · owns 5% to 10%
    • F•••••• E••••• D•••• · Chief Compliance Officercontrol
      since 08/2004 · owns 50% to 75%
    • M•••••• M••••• F••••• · Chief Investment Officercontrol
      since 03/2017 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Boulder, Co · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Denver, CO1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 862 to 884
      Mar 6, 2024 to Mar 20, 2024
    • Corporate clients · unset to 3.0
      Mar 6, 2024 to Mar 20, 2024
    • HNW clients · 149 to 92
      Mar 6, 2024 to Mar 20, 2024
    • Individual clients · 167 to 129
      Mar 6, 2024 to Mar 20, 2024
    • Pension plan clients · unset to 4.0
      Mar 6, 2024 to Mar 20, 2024
    • Financial planning clients · 101-250 to 51-100
      Mar 6, 2024 to Mar 20, 2024
    • Discretionary RAUM · $279M to $312M
      Mar 6, 2024 to Mar 20, 2024
    • HNW RAUM · $241M to $262M
      Mar 6, 2024 to Mar 20, 2024
    • Individual RAUM · $35.1M to $46.9M
      Mar 6, 2024 to Mar 20, 2024
    • Non-discretionary RAUM · $4.3M to $4.4M
      Mar 6, 2024 to Mar 20, 2024
    • Pension RAUM · $6.9M to $7.6M
      Mar 6, 2024 to Mar 20, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Mar 6, 2024 to Mar 20, 2024
    • RAUM · $283M to $316M
      Mar 6, 2024 to Mar 20, 2024
    • Employees · 9 to 7
      Apr 28, 2023 to Mar 6, 2024
    • Advisory employees · 4 to 3
      Mar 28, 2023 to Apr 28, 2023
    • Employees · 8 to 9
      Mar 28, 2023 to Apr 28, 2023
    • Accounts · 846 to 862
      Mar 29, 2022 to Mar 28, 2023
    • Advisory employees · 3 to 4
      Mar 29, 2022 to Mar 28, 2023
    • HNW clients · 144 to 149
      Mar 29, 2022 to Mar 28, 2023
    • Individual clients · 170 to 167
      Mar 29, 2022 to Mar 28, 2023
    • Financial planning clients · 51-100 to 101-250
      Mar 29, 2022 to Mar 28, 2023
    • Discretionary RAUM · $337M to $279M
      Mar 29, 2022 to Mar 28, 2023
    • HNW RAUM · $291M to $241M
      Mar 29, 2022 to Mar 28, 2023
    • Individual RAUM · $41.3M to $35.1M
      Mar 29, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $4.4M to $4.3M
      Mar 29, 2022 to Mar 28, 2023
    • Pension RAUM · $9.1M to $6.9M
      Mar 29, 2022 to Mar 28, 2023
    • RAUM · $341M to $283M
      Mar 29, 2022 to Mar 28, 2023
    • Accounts · 764 to 846
      Apr 29, 2021 to Mar 29, 2022
    • HNW clients · 128 to 144
      Apr 29, 2021 to Mar 29, 2022
    • Individual clients · 150 to 170
      Apr 29, 2021 to Mar 29, 2022
    • Employees · 7 to 8
      Apr 29, 2021 to Mar 29, 2022
    • Discretionary RAUM · $271M to $337M
      Apr 29, 2021 to Mar 29, 2022
    • HNW RAUM · $231M to $291M
      Apr 29, 2021 to Mar 29, 2022
    • Individual RAUM · $35.9M to $41.3M
      Apr 29, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $4.3M to $4.4M
      Apr 29, 2021 to Mar 29, 2022
    • Pension RAUM · $8.7M to $9.1M
      Apr 29, 2021 to Mar 29, 2022
    • RAUM · $276M to $341M
      Apr 29, 2021 to Mar 29, 2022
    • Accounts · 694 to 764
      Jun 24, 2020 to Mar 30, 2021
    • HNW clients · 107 to 128
      Jun 24, 2020 to Mar 30, 2021
    • Individual clients · 153 to 150
      Jun 24, 2020 to Mar 30, 2021
    Signals
    2 dated events
    • E•••• D•••• F••••• left H••••• F•••••••• G••••• I••• for M•• C•••••• M••••••••• L•• (registered 2024-05-15)
      Jun 3, 2024 · Advisor changed firm · fact
    • Marlow Jennifer Baham (Financial Planning Manager & Wealth Manager) appeared on Schedule A of H••••• F•••••••• G••••• I•••
      Mar 28, 2023 · Control person joined · fact
    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