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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•••••••• I••••••••• A••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 107295SEC 801-49238IAPD
Latest filing Mar 3, 2021
First filing on the tape Feb 29, 2012 · 17 filings
RAUM
$903M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$898M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$903M as of Mar 3, 2021
Feb 29, 2012$353M then
HNW client RAUM$849M as of Mar 3, 2021
Mar 1, 2018$656M then
State-registered IARs (5.B.3)5 as of Mar 3, 2021
Feb 29, 20120 then
Employees (5.A)9 as of Mar 3, 2021
Feb 13, 20138 then
Private funds: no history
RAUM +7.1% over the last fiscal year+8.8% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 3, 2021; every figure names its basis
RAUM per advisor
$181MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$947,034derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.1%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody
$368M, 247 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$849M94%
  • Individuals$48.8M5.4%
  • Pension and profit-sharing plans$5.7M0.6%
Individual clients
138reported
HNW clients
224reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
954reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$368M for 247 clientsreported
Compensation
% of AUM, fixedreported
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
      • F••••••• C••••••• J••• · Principalcontrol
        since 01/2010 · owns 25% to 50%
      • T•••••• F••••••••• B•••••••• · Principalcontrol
        since 07/1995 · owns 25% to 50%
      • V••••••••• R•••••• R•••••• · Principal And Chief Compliance Officercontrol
        since 07/1995 · owns 10% to 25%
      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 · 861 to 954
        Jun 17, 2020 to Mar 3, 2021
      • HNW clients · 209 to 224
        Jun 17, 2020 to Mar 3, 2021
      • Individual clients · 129 to 138
        Jun 17, 2020 to Mar 3, 2021
      • Assets in custody · $342M to $368M
        Jun 17, 2020 to Mar 3, 2021
      • Discretionary RAUM · $844M to $903M
        Jun 17, 2020 to Mar 3, 2021
      • HNW RAUM · $790M to $849M
        Jun 17, 2020 to Mar 3, 2021
      • Individual RAUM · $48.5M to $48.8M
        Jun 17, 2020 to Mar 3, 2021
      • Pension RAUM · $5.1M to $5.7M
        Jun 17, 2020 to Mar 3, 2021
      • RAUM · $844M to $903M
        Jun 17, 2020 to Mar 3, 2021
      • Accounts · 292 to 861
        Mar 19, 2019 to Mar 17, 2020
      • Advisory activities · 2 to 4
        Mar 19, 2019 to Mar 17, 2020
      • HNW clients · 191 to 209
        Mar 19, 2019 to Mar 17, 2020
      • Individual clients · 101 to 129
        Mar 19, 2019 to Mar 17, 2020
      • Assets in custody · $642M to $342M
        Mar 19, 2019 to Mar 17, 2020
      • Employees · 8 to 9
        Mar 19, 2019 to Mar 17, 2020
      • Financial planning clients · unset to 11-25
        Mar 19, 2019 to Mar 17, 2020
      • Discretionary RAUM · $677M to $844M
        Mar 19, 2019 to Mar 17, 2020
      • HNW RAUM · $632M to $790M
        Mar 19, 2019 to Mar 17, 2020
      • Individual RAUM · $45.8M to $48.5M
        Mar 19, 2019 to Mar 17, 2020
      • Pension RAUM · unset to 5128593.0
        Mar 19, 2019 to Mar 17, 2020
      • RAUM · $677M to $844M
        Mar 19, 2019 to Mar 17, 2020
      • Accounts · 311 to 292
        Apr 3, 2018 to Mar 19, 2019
      • HNW clients · 210 to 191
        Apr 3, 2018 to Mar 19, 2019
      • Assets in custody · $297M to $642M
        Apr 3, 2018 to Mar 19, 2019
      • Discretionary RAUM · $702M to $677M
        Apr 3, 2018 to Mar 19, 2019
      • HNW RAUM · $656M to $632M
        Apr 3, 2018 to Mar 19, 2019
      • Individual RAUM · $45.0M to $45.8M
        Apr 3, 2018 to Mar 19, 2019
      • RAUM · $702M to $677M
        Apr 3, 2018 to Mar 19, 2019
      • Accounts · 787 to 311
        Feb 8, 2017 to Mar 1, 2018
      • HNW clients · unset to 210.0
        Feb 8, 2017 to Mar 1, 2018
      • Individual clients · unset to 101.0
        Feb 8, 2017 to Mar 1, 2018
      • Assets in custody · unset to 296860246.0
        Feb 8, 2017 to Mar 1, 2018
      • Custody of client assets · false to true
        Feb 8, 2017 to Mar 1, 2018
      • Other offices · unset to 0.0
        Feb 8, 2017 to Mar 1, 2018
      • Discretionary RAUM · $589M to $702M
        Feb 8, 2017 to Mar 1, 2018
      • HNW RAUM · unset to 656485285.0
        Feb 8, 2017 to Mar 1, 2018
      • Individual RAUM · unset to 45023899.0
        Feb 8, 2017 to Mar 1, 2018
      • RAUM · $589M to $702M
        Feb 8, 2017 to Mar 1, 2018
      • Accounts · 743 to 787
        Feb 16, 2016 to Feb 8, 2017
      • Discretionary RAUM · $508M to $589M
        Feb 16, 2016 to Feb 8, 2017
      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