DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

A•••• O•• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 106276SEC 801-46986IAPD
Latest filing Mar 14, 2017
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$487M
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
14
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$487M as of Mar 14, 2017
Mar 29, 2012$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 14, 2017
Apr 2, 20136 then
Employees (5.A)14 as of Mar 14, 2017
Apr 2, 201312 then
Private funds: no history
RAUM +23% over the last fiscal year-1.2% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 14, 2017; every figure names its basis
RAUM per advisor
$40.6MderivedRAUM 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
$805,892derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
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
604reported
Financial planning clients
11-25reported
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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• T••••• · Chief Compliance Officer\Managercontrol
        since 11/1997 · owns less than 5%
      • V••••••• J•••••• J•••• · Chief Investment Officercontrol
        since 06/1994 · owns 25% to 50%
      • B••••••• T••••• · Shareholder/Presidentcontrol
        since 01/1993 · owns 50% to 75% of F• S•••••••• I•••
      • L•••••••• P•••••• R••• · Shareholder/President
        since 04/1989 · owns 75% or more of P••• C••
      Entity owners
      • F• S•••••••• I••• · Owner
        direct · owns 50% to 75%
      • P••• C•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • P••••• O• D••••••••
        investment advisern
      • P••••• O• D••••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Mandeville, LA
      What changed
      consecutive filings, newest first
      • Accounts · 1,790 to 604
        Aug 11, 2016 to Mar 14, 2017
      • Financial planning clients · 1-10 to 11-25
        Aug 11, 2016 to Mar 14, 2017
      • Discretionary RAUM · $397M to $487M
        Aug 11, 2016 to Mar 14, 2017
      • RAUM · $397M to $487M
        Aug 11, 2016 to Mar 14, 2017
      • Accounts · 635 to 1,790
        Mar 19, 2015 to Mar 14, 2016
      • Discretionary RAUM · $581M to $397M
        Mar 19, 2015 to Mar 14, 2016
      • RAUM · $581M to $397M
        Mar 19, 2015 to Mar 14, 2016
      • Accounts · 597 to 635
        Feb 11, 2015 to Mar 19, 2015
      • Advisory employees · 12 to 14
        Feb 11, 2015 to Mar 19, 2015
      • BD registered reps · 10 to 12
        Feb 11, 2015 to Mar 19, 2015
      • Employees · 12 to 14
        Feb 11, 2015 to Mar 19, 2015
      • Insurance-licensed employees · 0 to 3
        Feb 11, 2015 to Mar 19, 2015
      • State-registered IARs · 10 to 12
        Feb 11, 2015 to Mar 19, 2015
      • Discretionary RAUM · $504M to $581M
        Feb 11, 2015 to Mar 19, 2015
      • RAUM · $504M to $581M
        Feb 11, 2015 to Mar 19, 2015
      • Accounts · 586 to 597
        Oct 2, 2013 to Mar 27, 2014
      • Advisory employees · 6 to 12
        Oct 2, 2013 to Mar 27, 2014
      • BD registered reps · 6 to 10
        Oct 2, 2013 to Mar 27, 2014
      • State-registered IARs · 6 to 10
        Oct 2, 2013 to Mar 27, 2014
      • Discretionary RAUM · $348M to $504M
        Oct 2, 2013 to Mar 27, 2014
      • RAUM · $348M to $504M
        Oct 2, 2013 to Mar 27, 2014
      • Accounts · 552 to 586
        Oct 10, 2012 to Apr 2, 2013
      • Advisory employees · unset to 6.0
        Oct 10, 2012 to Apr 2, 2013
      • BD registered reps · unset to 6.0
        Oct 10, 2012 to Apr 2, 2013
      • Employees · unset to 12.0
        Oct 10, 2012 to Apr 2, 2013
      • State-registered IARs · unset to 6.0
        Oct 10, 2012 to Apr 2, 2013
      • Discretionary RAUM · $311M to $348M
        Oct 10, 2012 to Apr 2, 2013
      • RAUM · $311M to $348M
        Oct 10, 2012 to Apr 2, 2013
      • Advisory activities · 4 to 3
        Mar 29, 2012 to Oct 10, 2012
      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