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

W••••• M••••••••• C••••••••• I••

Former SEC-registered adviserDenver, ColoradoCRD 107199SEC 801-72543IAPD
Latest filing Mar 23, 2020
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$75.2M
reported, Item 5.F
Discretionary
23%
of RAUM
Private clients
92%
$68.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$75.2M as of Mar 23, 2020
Mar 29, 2012$71.0M then
HNW client RAUM$68.9M as of Mar 23, 2020
Mar 13, 2018$60.9M then
State-registered IARs (5.B.3)2 as of Mar 23, 2020
Mar 29, 20120 then
Employees (5.A)3 as of Mar 23, 2020
Feb 28, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year-2.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2020; every figure names its basis
RAUM per advisor
$37.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$963,520derivedRAUM over accounts (5.F.2.f)
Discretionary
23%derivedof RAUM
Institutional
8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-81%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$68.9M92%
  • Charitable organizations$6.2M8.3%
Individual clients
0reported
HNW clients
14reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
78reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Z••••••••• T•••••• E••••• · President And Chief Compliance Officercontrol
    since 05/1993 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 74 to 78
    Mar 14, 2019 to Mar 23, 2020
  • HNW clients · 73 to 14
    Mar 14, 2019 to Mar 23, 2020
  • Discretionary RAUM · $15.1M to $17.6M
    Mar 14, 2019 to Mar 23, 2020
  • HNW RAUM · $57.8M to $68.9M
    Mar 14, 2019 to Mar 23, 2020
  • Non-discretionary RAUM · $47.9M to $57.6M
    Mar 14, 2019 to Mar 23, 2020
  • RAUM · $63.0M to $75.2M
    Mar 14, 2019 to Mar 23, 2020
  • Accounts · 73 to 74
    Mar 13, 2018 to Mar 14, 2019
  • Charity clients · unset to 1.0
    Mar 13, 2018 to Mar 14, 2019
  • HNW clients · 72 to 73
    Mar 13, 2018 to Mar 14, 2019
  • Discretionary RAUM · $13.3M to $15.1M
    Mar 13, 2018 to Mar 14, 2019
  • HNW RAUM · $60.9M to $57.8M
    Mar 13, 2018 to Mar 14, 2019
  • Non-discretionary RAUM · $53.2M to $47.9M
    Mar 13, 2018 to Mar 14, 2019
  • RAUM · $66.5M to $63.0M
    Mar 13, 2018 to Mar 14, 2019
  • Accounts · 87 to 73
    Mar 30, 2017 to Mar 13, 2018
  • Corporate clients · unset to 0.0
    Mar 30, 2017 to Mar 13, 2018
  • HNW clients · unset to 72.0
    Mar 30, 2017 to Mar 13, 2018
  • Individual clients · unset to 0.0
    Mar 30, 2017 to Mar 13, 2018
  • Pension plan clients · unset to 0.0
    Mar 30, 2017 to Mar 13, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 30, 2017 to Mar 13, 2018
  • Other offices · unset to 0.0
    Mar 30, 2017 to Mar 13, 2018
  • Discretionary RAUM · $12.1M to $13.3M
    Mar 30, 2017 to Mar 13, 2018
  • HNW RAUM · unset to 60942609.0
    Mar 30, 2017 to Mar 13, 2018
  • Non-discretionary RAUM · $69.4M to $53.2M
    Mar 30, 2017 to Mar 13, 2018
  • RAUM · $81.5M to $66.5M
    Mar 30, 2017 to Mar 13, 2018
  • Accounts · 79 to 87
    Apr 13, 2016 to Mar 30, 2017
  • Discretionary RAUM · $11.6M to $12.1M
    Apr 13, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $54.1M to $69.4M
    Apr 13, 2016 to Mar 30, 2017
  • RAUM · $65.7M to $81.5M
    Apr 13, 2016 to Mar 30, 2017
  • Accounts · 12 to 79
    Mar 14, 2016 to Apr 13, 2016
  • Non-discretionary RAUM · $0 to $54.1M
    Mar 14, 2016 to Apr 13, 2016
  • RAUM · $11.6M to $65.7M
    Mar 14, 2016 to Apr 13, 2016
  • Accounts · 68 to 12
    Nov 12, 2015 to Mar 14, 2016
  • Insurance-licensed employees · 1 to 2
    Nov 12, 2015 to Mar 14, 2016
  • Financial planning clients · 51-100 to 11-25
    Nov 12, 2015 to Mar 14, 2016
  • Discretionary RAUM · $76.6M to $11.6M
    Nov 12, 2015 to Mar 14, 2016
  • RAUM · $76.6M to $11.6M
    Nov 12, 2015 to Mar 14, 2016
  • Advisory employees · 4 to 2
    Feb 13, 2015 to Jul 28, 2015
  • Employees · 7 to 3
    Feb 13, 2015 to Jul 28, 2015
  • Insurance-licensed employees · 2 to 1
    Feb 13, 2015 to Jul 28, 2015
  • State-registered IARs · 4 to 2
    Feb 13, 2015 to Jul 28, 2015
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