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Former SEC-registered adviser

C••••••••• I••••••••• M••••••••• C••••••

Former SEC-registered adviserDenver, ColoradoCRD 107084SEC 801-52094IAPD
Latest filing Dec 16, 2016
First filing on the tape Nov 11, 2011 · 11 filings
RAUM
$16B
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
16
16 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$16B as of Mar 24, 2016
Mar 26, 2012$17B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2016
Mar 26, 20120 then
Employees (5.A)16 as of Mar 24, 2016
Mar 22, 201318 then
Private funds: no history
RAUM -11% over the last fiscal year-2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 16, 2016; 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
$2.1BderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$16B, 8 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$16B for 8 clientsreported
Compensation
n/areported
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
      • B•••••• G•• C••• · C••••••••• Svp Operations, Cim Board Membercontrol
        since 04/2011 · owns less than 5%
      • E••••• R•• S•••••• · C••••••••• Evp And Cfo, Cim Board Membercontrol
        since 04/2011 · owns less than 5%
      • G••••••• M•••• E•••••••• · Cim Vice President And Chief Compliance Officercontrol
        since 12/2016 · owns less than 5%
      • L•••••• K•••••••• M••••••••• · Cim President And Cio, Cim Board Membercontrol
        since 09/2006 · owns less than 5%
      • P••••••• M•••••• A•• · C••••••••• Vice President Benefits & Policy, Cim Board Membercontrol
        since 11/2016 · owns less than 5%
      • P•••••• R•••• K•••• · Cim Board Membercontrol
        since 06/2008 · owns less than 5%
      • W•••••••• J••• G••••• E••••• · C••••••••• Vp And Treasurer, Cim Board Membercontrol
        since 08/2013 · owns less than 5%
      Entity owners
      • Q•••• S••••••• C••••••••• · Corporate Parent
        direct · owns 75% or more
      • C••••••••• I••• · Corporate Parent
        indirect · owns 75% or more of Q•••• C••••••••• I••••••••• I••• · public reporting company
      • Q•••• C••••••••• I••••••••• I••• · Corporate Parent
        indirect · owns 75% or more of Q•••• S••••••• C••••••••• · public reporting company
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 8
        Mar 18, 2015 to Mar 24, 2016
      • Assets in custody · $19B to $16B
        Mar 18, 2015 to Mar 24, 2016
      • Discretionary RAUM · $19B to $16B
        Mar 18, 2015 to Mar 24, 2016
      • RAUM · $19B to $16B
        Mar 18, 2015 to Mar 24, 2016
      • Advisory employees · 18 to 16
        Mar 28, 2014 to Mar 18, 2015
      • Assets in custody · $18B to $19B
        Mar 28, 2014 to Mar 18, 2015
      • Employees · 18 to 16
        Mar 28, 2014 to Mar 18, 2015
      • Financial planning clients · unset to 0
        Mar 28, 2014 to Mar 18, 2015
      • Discretionary RAUM · $18B to $19B
        Mar 28, 2014 to Mar 18, 2015
      • RAUM · $18B to $19B
        Mar 28, 2014 to Mar 18, 2015
      • Accounts · 16 to 12
        Oct 15, 2013 to Mar 28, 2014
      • Advisory employees · 16 to 18
        Oct 15, 2013 to Mar 28, 2014
      • Assets in custody · unset to 18358702651.0
        Oct 15, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Oct 15, 2013 to Mar 28, 2014
      • Discretionary RAUM · $18B to $18B
        Oct 15, 2013 to Mar 28, 2014
      • RAUM · $18B to $18B
        Oct 15, 2013 to Mar 28, 2014
      • Accounts · 20 to 16
        Apr 17, 2012 to Mar 22, 2013
      • Advisory employees · unset to 16.0
        Apr 17, 2012 to Mar 22, 2013
      • Employees · unset to 18.0
        Apr 17, 2012 to Mar 22, 2013
      • Discretionary RAUM · $17B to $18B
        Apr 17, 2012 to Mar 22, 2013
      • RAUM · $17B to $18B
        Apr 17, 2012 to Mar 22, 2013
      • Accounts · 4 to 20
        Nov 11, 2011 to Mar 26, 2012
      • Business name · Q•••• A•••• M••••••••• C•••••• to C••••••••• I••••••••• M••••••••• C••••••
        Nov 11, 2011 to Mar 26, 2012
      • Discretionary RAUM · $12B to $17B
        Nov 11, 2011 to Mar 26, 2012
      • RAUM · $12B to $17B
        Nov 11, 2011 to Mar 26, 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