DFX Intelligence

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M••••••••• A••••••••• L••

No RAUM reportedSEC-registered· Denver, Coloradowebsite

No RAUM reported, based in Denver, Colorado.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-05-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: Not established
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: Not established
Private clients: Not established

Advisors Advisor movement Where the RAUM sits

As of 2026-05-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 107392 · SEC 801-51758 · 32 filingsShow

CRD 107392SEC 801-51758First filing on the tape Mar 22, 2012, latest May 8, 2026SEC status approved since Apr 18, 1996IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

31 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM$0 as of May 8, 2026

Mar 31, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 8, 2026

Mar 22, 20120 then

Employees (5.A)58 as of May 8, 2026

Mar 21, 201344 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 2 to 0offices 3 to 4

Practice profile

derived from the filing of May 8, 2026; 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, otherreportedItem 5.E
Advisory activities: pension consulting, selection of other advisers, otherreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

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: 263reported
Pension plan clients: 7reported
Charitable clients: 156reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• A•••••• L••••• · Managing Director - Director Of Researchcontrol
since 01/2018 · owns less than 5%
D••••• W••••••• C••••••••• · Managing Directorcontrol
since 01/2020 · owns less than 5%
D•••••• B••••••• G•••• · Executive Chairmancontrol
since 04/2021 · owns 50% to 75%
H••••••••• S•••••• E••• · Managing Directorcontrol
since 03/2001 · owns 5% to 10%
H•••••••• B••••• P•••••• · Managing Directorcontrol
since 01/2013 · owns 5% to 10%
H••••• I••• J•••• E••••• · Managing Directorcontrol
since 01/2023 · owns less than 5%
H•••• W••••••• M••••• · Managing Directorcontrol
since 01/2018 · owns less than 5%
H•••••• W••••••• C• · Managing Directorcontrol
since 01/2023 · owns less than 5%
K•••••••• J•••••• V•••••• · Managing Directorcontrol
since 01/2023 · owns less than 5%
S••••••• J••••••• D••• · Managing Directorcontrol
since 01/2009 · owns 5% to 10%
S•••••••• P••••••• F•••••• · Senior Managing Directorcontrol
since 01/2007 · owns 10% to 25%
S•••••• T•••••• A•• · Vice President - Chief Financial Officercontrol
since 01/2021 · owns less than 5%
T•••••••• A•••••• G••••• · Senior Managing Directorcontrol
since 01/2017 · owns 5% to 10%
Z••••••••• K••••• A••••• · Managing Directorcontrol
since 01/2006 · owns 5% to 10%
K•••• J•••••••• A•• · Chief Compliance Officer
since 01/2018 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Cleveland, OH5 employees
Boston, MA2 employees
Bethesda, MD1 employees

What changed

consecutive filings, newest first

Advisory employees · 22 to 31
Oct 27, 2025 to Mar 27, 2026
Charity clients · 158 to 156
Oct 27, 2025 to Mar 27, 2026
HNW clients · 236 to 263
Oct 27, 2025 to Mar 27, 2026
Pension plan clients · 11 to 7
Oct 27, 2025 to Mar 27, 2026
Employees · 57 to 58
Oct 27, 2025 to Mar 27, 2026
State-registered IARs · 2 to 0
Oct 27, 2025 to Mar 27, 2026
Other offices · 3 to 4
Oct 27, 2025 to Mar 27, 2026
Business name · M••••••••• A••••••••• I•• to M••••••••• A••••••••• L••
Mar 31, 2025 to Oct 27, 2025
Legal name · M••••••••• A••••••••• I•• to M••••••••• A••••••••• L••
Mar 31, 2025 to Oct 27, 2025
Organization form · Corporation to Limited Liability Company
Mar 31, 2025 to Oct 27, 2025
Related adviser · false to true
Mar 31, 2025 to Oct 27, 2025
Related bank · false to true
Mar 31, 2025 to Oct 27, 2025
Accounts · unset to 0.0
Mar 27, 2024 to Mar 31, 2025
Advisory employees · 28 to 22
Mar 27, 2024 to Mar 31, 2025
Charity clients · 160 to 158
Mar 27, 2024 to Mar 31, 2025
HNW clients · 219 to 236
Mar 27, 2024 to Mar 31, 2025
Pension plan clients · 15 to 11
Mar 27, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 31, 2025
State-registered IARs · 1 to 2
Mar 27, 2024 to Mar 31, 2025
Discretionary RAUM · unset to 0.0
Mar 27, 2024 to Mar 31, 2025
Non-discretionary RAUM · unset to 0.0
Mar 27, 2024 to Mar 31, 2025
RAUM · unset to 0.0
Mar 27, 2024 to Mar 31, 2025
Charity clients · 168 to 160
Jul 31, 2023 to Mar 27, 2024
HNW clients · 216 to 219
Jul 31, 2023 to Mar 27, 2024
Pension plan clients · 19 to 15
Jul 31, 2023 to Mar 27, 2024
Employees · 55 to 57
Jul 31, 2023 to Mar 27, 2024
State-registered IARs · 2 to 1
Jul 31, 2023 to Mar 27, 2024
Employees · 54 to 55
May 22, 2023 to Jul 13, 2023
Other offices · 2 to 3
May 22, 2023 to Jul 13, 2023
Advisory employees · 27 to 28
Oct 26, 2022 to Mar 31, 2023
HNW clients · 215 to 216
Oct 26, 2022 to Mar 31, 2023
Employees · 53 to 54
Oct 26, 2022 to Mar 31, 2023
Advisory employees · 28 to 27
Mar 30, 2022 to Oct 26, 2022
Advisory employees · 26 to 28
Sep 2, 2021 to Mar 30, 2022
Charity clients · 172 to 168
Sep 2, 2021 to Mar 30, 2022
HNW clients · 207 to 215
Sep 2, 2021 to Mar 30, 2022
Pension plan clients · 18 to 19
Sep 2, 2021 to Mar 30, 2022
Employees · 51 to 53
Sep 2, 2021 to Mar 30, 2022
Advisory employees · 24 to 26
Aug 26, 2020 to Mar 30, 2021
Charity clients · 180 to 172
Aug 26, 2020 to Mar 30, 2021

Signals

43 dated events

••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person joined · fact
••• Locked
May 8, 2026 · Control person joined · fact
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria indirect owner change · fact
••• Locked
May 8, 2026 · ria indirect owner change · fact
••• Locked
May 8, 2026 · ria indirect owner change · fact
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria majority owner change · fact
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · fact
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria principal change · derived
••• Locked
May 8, 2026 · ria ownership band change · fact
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · Control person left · inference
••• Locked
May 8, 2026 · 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, May 8, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 8, 2026

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: No RAUM reportedderiveda 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