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

S•••••••• C•••••• A•••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 108872SEC 801-57450IAPD
Latest filing Jun 13, 2022
First filing on the tape Mar 15, 2012 · 21 filings
RAUM
$720M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$240M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$720M as of Feb 8, 2022
Mar 15, 2012$3.0B then
HNW client RAUM$199M as of Feb 8, 2022
Feb 21, 2018$115M then
State-registered IARs (5.B.3)4 as of Feb 8, 2022
Mar 15, 20120 then
Employees (5.A)4 as of Feb 8, 2022
Mar 5, 20136 then
Private funds: no history
RAUM +10% over the last fiscal year-42% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 13, 2022; every figure names its basis
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.2MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • Pension and profit-sharing plans$340M55%
  • High-net-worth individuals$199M32%
  • Individuals$41.4M6.7%
  • Corporations and businesses$26.4M4.3%
  • Charitable organizations$13.9M2.2%
Individual clients
83reported
HNW clients
38reported
Pension plan clients
16reported
Charitable clients
9reported
Accounts
388reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • A••••• J•••••••• D••••• · Director Of Investments & Controllercontrol
        since 04/2000 · owns 50% to 75%
      • H••••••• J•••• H••••• · President & Chief Compliance Officercontrol
        since 12/2000 · owns 50% to 75%
      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 · 359 to 388
        Apr 13, 2021 to Feb 8, 2022
      • Charity clients · 7 to 9
        Apr 13, 2021 to Feb 8, 2022
      • Corporate clients · 9 to 8
        Apr 13, 2021 to Feb 8, 2022
      • HNW clients · 36 to 38
        Apr 13, 2021 to Feb 8, 2022
      • Individual clients · 80 to 83
        Apr 13, 2021 to Feb 8, 2022
      • Pension plan clients · 14 to 16
        Apr 13, 2021 to Feb 8, 2022
      • Discretionary RAUM · $631M to $720M
        Apr 13, 2021 to Feb 8, 2022
      • HNW RAUM · $144M to $199M
        Apr 13, 2021 to Feb 8, 2022
      • Individual RAUM · $32.8M to $41.4M
        Apr 13, 2021 to Feb 8, 2022
      • Pension RAUM · $295M to $340M
        Apr 13, 2021 to Feb 8, 2022
      • RAUM · $631M to $720M
        Apr 13, 2021 to Feb 8, 2022
      • Accounts · 360 to 359
        Feb 9, 2021 to Apr 13, 2021
      • Pension plan clients · 15 to 14
        Feb 9, 2021 to Apr 13, 2021
      • Non-discretionary RAUM · $22.4M to $0
        Feb 9, 2021 to Apr 13, 2021
      • Pension RAUM · $318M to $295M
        Feb 9, 2021 to Apr 13, 2021
      • RAUM · $654M to $631M
        Feb 9, 2021 to Apr 13, 2021
      • Accounts · 350 to 360
        Jun 3, 2020 to Feb 5, 2021
      • HNW clients · 30 to 36
        Jun 3, 2020 to Feb 5, 2021
      • Individual clients · 88 to 80
        Jun 3, 2020 to Feb 5, 2021
      • Pension plan clients · 18 to 15
        Jun 3, 2020 to Feb 5, 2021
      • Employees · 5 to 4
        Jun 3, 2020 to Feb 5, 2021
      • State-registered IARs · 5 to 4
        Jun 3, 2020 to Feb 5, 2021
      • Discretionary RAUM · $4.8B to $631M
        Jun 3, 2020 to Feb 5, 2021
      • HNW RAUM · $139M to $144M
        Jun 3, 2020 to Feb 5, 2021
      • Individual RAUM · $20.8M to $32.8M
        Jun 3, 2020 to Feb 5, 2021
      • Non-discretionary RAUM · $20.1M to $22.4M
        Jun 3, 2020 to Feb 5, 2021
      • Pension RAUM · $4.2B to $318M
        Jun 3, 2020 to Feb 5, 2021
      • RAUM · $4.8B to $654M
        Jun 3, 2020 to Feb 5, 2021
      • Accounts · 318 to 350
        Feb 7, 2019 to Feb 6, 2020
      • Advisory employees · 5 to 3
        Feb 7, 2019 to Feb 6, 2020
      • Corporate clients · 10 to 9
        Feb 7, 2019 to Feb 6, 2020
      • HNW clients · 23 to 30
        Feb 7, 2019 to Feb 6, 2020
      • Individual clients · 80 to 88
        Feb 7, 2019 to Feb 6, 2020
      • Pension plan clients · 17 to 18
        Feb 7, 2019 to Feb 6, 2020
      • Financial planning clients · 0 to unset
        Feb 7, 2019 to Feb 6, 2020
      • Discretionary RAUM · $3.7B to $4.8B
        Feb 7, 2019 to Feb 6, 2020
      • HNW RAUM · $119M to $139M
        Feb 7, 2019 to Feb 6, 2020
      • Individual RAUM · $20.1M to $20.8M
        Feb 7, 2019 to Feb 6, 2020
      • Non-discretionary RAUM · $15.6M to $20.1M
        Feb 7, 2019 to Feb 6, 2020
      • Pension RAUM · $3.3B to $4.2B
        Feb 7, 2019 to Feb 6, 2020
      Signals
      5 dated events
      • P•••••• W••••••• left S•••••••• C•••••• A•••••••• I••• for T•••••••• W•••••• L•• (registered 2022-10-05)
        Oct 3, 2022 · Advisor changed firm · fact
      • J••••••• D••••• A•••• left S•••••••• C•••••• A•••••••• I••• for T•••••••• W•••••• L•• (registered 2022-10-05)
        Oct 3, 2022 · Advisor changed firm · fact
      • 2 advisors left S•••••••• C•••••• A•••••••• I••• (Denver, CO) for T•••••••• W•••••• L•• on the same day
        Oct 3, 2022 · Team lift-out · derived
      • S•••••••• C•••••• A•••••••• I••• reported RAUM $653.8M, down 86% from $4.8B (2020-06-03 to 2021-02-05)
        Feb 5, 2021 · RAUM change · derived
      • S•••••••• C•••••• A•••••••• I••• reported RAUM $4.8B, up 28% from $3.7B (2019-02-07 to 2020-02-06)
        Feb 6, 2020 · RAUM change · derived
      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