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G••••• F•••••••• S•••••••••

Former SEC-registered adviserFormer SEC adviser· Denver, Colorado

Former SEC-registered adviser, based in Denver, Colorado, reporting $264M of regulatory assets.

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

As of 2016-01-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $264M
RAUM change, 1 year: +1.0%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2016-01-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 107544 · SEC 801-17662 · 5 filingsShow

CRD 107544SEC 801-17662First filing on the tape Feb 15, 2012, latest Jan 29, 2016IAPD

RAUM

$264M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM +3.8% a year over three years · the tape starts Feb 15, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$264M as of Jan 29, 2016

Feb 15, 2012$239M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 29, 2016

Feb 15, 20120 then

Employees (5.A)6 as of Jan 29, 2016

Jan 28, 20136 then

Private funds: no history

RAUM +1.0% over the last fiscal year+3.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 29, 2016; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $191,041derivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +1.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 1,380reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

W•••• W••••• M••••••••• A•• F•••••••• P••••••• L••1 advisor

Left, latest

G•••• A••• W•••• to W•••• W••••• M••••••••• A•• F•••••••• P••••••• L••
Dec 31, 2016 · Other

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••• G•••••• R•••••• · Presidentcontrol
since 04/1982 · owns 75% or more
L•••••• D•••• · Chief Compliance Officer
since 10/2003 · owns less than 5%

Related persons

Schedule D 7.A

D•••• L•••••
investment advisern
G••••• R• G•••••
investment advisery
G•••• A• W••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1,434 to 1,380
Feb 2, 2015 to Jan 29, 2016
Financial planning clients · 101-250 to 251-500
Feb 2, 2015 to Jan 29, 2016
Discretionary RAUM · $261M to $264M
Feb 2, 2015 to Jan 29, 2016
RAUM · $261M to $264M
Feb 2, 2015 to Jan 29, 2016
Accounts · 1,416 to 1,434
Mar 4, 2014 to Feb 2, 2015

Full history · 18 changes

Financial planning clients · More than 500 to 101-250
Mar 4, 2014 to Feb 2, 2015
State-registered IARs · 1 to 0
Mar 4, 2014 to Feb 2, 2015
Discretionary RAUM · $252M to $261M
Mar 4, 2014 to Feb 2, 2015
RAUM · $252M to $261M
Mar 4, 2014 to Feb 2, 2015
Accounts · 1,392 to 1,416
Jan 28, 2013 to Mar 4, 2014
Discretionary RAUM · $236M to $252M
Jan 28, 2013 to Mar 4, 2014
RAUM · $236M to $252M
Jan 28, 2013 to Mar 4, 2014
Accounts · 1,349 to 1,392
Feb 15, 2012 to Jan 28, 2013
Advisory employees · unset to 3.0
Feb 15, 2012 to Jan 28, 2013
Employees · unset to 6.0
Feb 15, 2012 to Jan 28, 2013
State-registered IARs · 0 to 1
Feb 15, 2012 to Jan 28, 2013
Discretionary RAUM · $239M to $236M
Feb 15, 2012 to Jan 28, 2013
RAUM · $239M to $236M
Feb 15, 2012 to Jan 28, 2013

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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026