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

P•••••••• M••••••••• C••••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 107747SEC 801-29130IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$8.0M as of Mar 30, 2016
Mar 30, 2012$40.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)2 as of Mar 31, 2017
Mar 28, 201334 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
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)
  • 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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••••••• J•••••• T••• · Chairman, Ceo And Directorcontrol
        since 09/2001 · owns less than 5%
      • C•••••• W••••••• C• · President/Managing Directorcontrol
        since 09/2001 · owns less than 5%
      • D••••••• P••••• H• · Chief Financial Officercontrol
        since 06/2008 · owns less than 5%
      • G•••••• S••••• D•••• · Evp/Chief Technology Officercontrol
        since 12/2004 · owns less than 5%
      • M••••• J•••••• D•••• · Chief Operating Officercontrol
        since 04/2014 · owns less than 5%
      • O••••••• S•••••• S• · Evp/General Counsel/Secretarycontrol
        since 03/2002 · owns less than 5%
      • S••••• D•••• J••••• · Controllercontrol
        since 10/2007 · owns less than 5%
      • T•••••• B••••••• R••••••• · Chief Investment Officer/Managing Directorcontrol
        since 09/2001 · owns less than 5%
      • D••••• D••••• J••• · Chief Compliance Officer
        since 01/2014 · owns less than 5%
      Entity owners
      • P•• I••••••••• I••• · Parent Of Applicant
        direct · owns 75% or more
      • E••••••••• I••• · Shareholder
        indirect · owns 75% or more of P•• I••••••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list P•••••••• M••••••••• C••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Accounts · 26.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 32 to 0
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 3 to 1
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 5 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 32 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Insurance-licensed employees · 13 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · 8026988.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · 8026988.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 31 to 26
        May 4, 2015 to Mar 30, 2016
      • Discretionary RAUM · $9.9M to $8.0M
        May 4, 2015 to Mar 30, 2016
      • RAUM · $9.9M to $8.0M
        May 4, 2015 to Mar 30, 2016
      • Accounts · 45 to 31
        Oct 3, 2014 to Mar 31, 2015
      • Advisory employees · 35 to 32
        Oct 3, 2014 to Mar 31, 2015
      • BD registered reps · 7 to 5
        Oct 3, 2014 to Mar 31, 2015
      • Employees · 35 to 32
        Oct 3, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 14 to 13
        Oct 3, 2014 to Mar 31, 2015
      • Discretionary RAUM · $16.1M to $9.9M
        Oct 3, 2014 to Mar 31, 2015
      • RAUM · $16.1M to $9.9M
        Oct 3, 2014 to Mar 31, 2015
      • Accounts · 63 to 45
        Jan 30, 2014 to Mar 31, 2014
      • Advisory employees · 34 to 35
        Jan 30, 2014 to Mar 31, 2014
      • BD registered reps · 6 to 7
        Jan 30, 2014 to Mar 31, 2014
      • Employees · 34 to 35
        Jan 30, 2014 to Mar 31, 2014
      • Insurance-licensed employees · 12 to 14
        Jan 30, 2014 to Mar 31, 2014
      • Discretionary RAUM · $19.1M to $16.1M
        Jan 30, 2014 to Mar 31, 2014
      • RAUM · $19.1M to $16.1M
        Jan 30, 2014 to Mar 31, 2014
      • Accounts · 126 to 63
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 34.0
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 6.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 34.0
        Mar 30, 2012 to Mar 28, 2013
      • Insurance-licensed employees · 0 to 12
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $40.9M to $19.1M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $40.9M to $19.1M
        Mar 30, 2012 to Mar 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
      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