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••• S••••••••• I••

Former SEC-registered adviserCentennial, ColoradoCRD 110048SEC 801-111942IAPD
Latest filing Jun 30, 2021
First filing on the tape Jan 25, 2012 · 12 filings
RAUM
$292M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$292M as of Mar 12, 2021
Feb 5, 2018$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 12, 2021
Jan 25, 20120 then
Employees (5.A)3 as of Mar 12, 2021
Feb 5, 20183 then
Private funds: no history
RAUM +38% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2021; every figure names its basis
RAUM per advisor
$146MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
64%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$292M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
189reported
Charitable clients
n/areported
Accounts
189reported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••• K•••••••• A•• · Cco, Vice Presidentcontrol
      since 09/2017 · owns less than 5%
    • J••••••• B••••• R•••••• · Coo, Presidentcontrol
      since 12/2017 · owns less than 5%
    • B•••••••• R•••••• H••••• · Ownercontrol
      since 12/2009 · owns 75% or more of R••••• B••••••• H•••••••• I•••
    • A•••••••• M••••••• A•••••• · Director
      since 02/2018 · owns less than 5%
    • W••••• J•••••• A•••• · Director
      since 02/2018 · owns less than 5%
    Entity owners
    • R••••• B••••••• H•••••••• I••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • L• T•••• C•••••• I•••
      custodiany
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · DENVER to CENTENNIAL
      Mar 12, 2021 to Jun 30, 2021
    • Accounts · 122 to 189
      Feb 7, 2020 to Mar 12, 2021
    • Pension plan clients · 122 to 189
      Feb 7, 2020 to Mar 12, 2021
    • Discretionary RAUM · $124M to $188M
      Feb 7, 2020 to Mar 12, 2021
    • Non-discretionary RAUM · $88.0M to $104M
      Feb 7, 2020 to Mar 12, 2021
    • Pension RAUM · $212M to $292M
      Feb 7, 2020 to Mar 12, 2021
    • RAUM · $212M to $292M
      Feb 7, 2020 to Mar 12, 2021
    • Accounts · 115 to 122
      Mar 4, 2019 to Feb 7, 2020
    • Pension plan clients · 115 to 122
      Mar 4, 2019 to Feb 7, 2020
    • Discretionary RAUM · $123M to $124M
      Mar 4, 2019 to Feb 7, 2020
    • Non-discretionary RAUM · $82.9M to $88.0M
      Mar 4, 2019 to Feb 7, 2020
    • Pension RAUM · $206M to $212M
      Mar 4, 2019 to Feb 7, 2020
    • RAUM · $206M to $212M
      Mar 4, 2019 to Feb 7, 2020
    • Accounts · 104 to 115
      Nov 13, 2018 to Mar 4, 2019
    • Pension plan clients · 104 to 115
      Nov 13, 2018 to Mar 4, 2019
    • Discretionary RAUM · $118M to $123M
      Nov 13, 2018 to Mar 4, 2019
    • Non-discretionary RAUM · $83.8M to $82.9M
      Nov 13, 2018 to Mar 4, 2019
    • Pension RAUM · $202M to $206M
      Nov 13, 2018 to Mar 4, 2019
    • RAUM · $202M to $206M
      Nov 13, 2018 to Mar 4, 2019
    • Accounts · unset to 104.0
      Sep 27, 2017 to Feb 5, 2018
    • Pension plan clients · unset to 104.0
      Sep 27, 2017 to Feb 5, 2018
    • Other offices · unset to 0.0
      Sep 27, 2017 to Feb 5, 2018
    • Discretionary RAUM · unset to 118138949.0
      Sep 27, 2017 to Feb 5, 2018
    • Non-discretionary RAUM · unset to 83840433.0
      Sep 27, 2017 to Feb 5, 2018
    • Pension RAUM · unset to 201979382.0
      Sep 27, 2017 to Feb 5, 2018
    • RAUM · unset to 201979382.0
      Sep 27, 2017 to Feb 5, 2018
    • Advisory employees · unset to 2.0
      Jun 18, 2012 to Sep 27, 2017
    • Employees · unset to 3.0
      Jun 18, 2012 to Sep 27, 2017
    • HQ city · EDEN PRAIRIE to DENVER
      Jun 18, 2012 to Sep 27, 2017
    • HQ state · MN to CO
      Jun 18, 2012 to Sep 27, 2017
    • State-registered IARs · 0 to 2
      Jun 18, 2012 to Sep 27, 2017
    Signals
    1 dated events
    • P••• S••••••••• I•• filed its initial SEC registration (Form ADV)
      Sep 27, 2017 · First SEC registration · fact
    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