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

C••••••• F•••••••• M••••••••• I••

Former SEC-registered adviserJohnstown, ColoradoCRD 110845SEC 801-39481IAPD
Latest filing Jan 27, 2015
First filing on the tape Feb 22, 2012 · 7 filings
RAUM
$253M
reported, Item 5.F
Discretionary
100%
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$253M as of Jan 27, 2015
Feb 22, 2012$186M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 27, 2015
Feb 22, 20120 then
Employees (5.A)5 as of Jan 27, 2015
Feb 5, 20135 then
Private funds: no history
RAUM +5.6% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 2015; 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
$414,753derivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
+5.6%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
611reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      • M•••••• J•••••• R••••• · President & Chief Compliance Officercontrol
        since 10/2007 · owns 50% to 75%
      • P•••••• G•••• D••• · Foundercontrol
        since 07/1991 · owns 25% to 50%
      • E•••• D••••• E• · Vice President
        since 01/2015 · owns 10% to 25%
      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 · 643 to 611
        May 8, 2014 to Jan 27, 2015
      • Advisory employees · 3 to 2
        May 8, 2014 to Jan 27, 2015
      • Employees · 6 to 5
        May 8, 2014 to Jan 27, 2015
      • Discretionary RAUM · $240M to $253M
        May 8, 2014 to Jan 27, 2015
      • RAUM · $240M to $253M
        May 8, 2014 to Jan 27, 2015
      • Accounts · 587 to 643
        Feb 5, 2013 to Jan 15, 2014
      • Employees · 5 to 6
        Feb 5, 2013 to Jan 15, 2014
      • Discretionary RAUM · $215M to $240M
        Feb 5, 2013 to Jan 15, 2014
      • RAUM · $215M to $240M
        Feb 5, 2013 to Jan 15, 2014
      • Accounts · 550 to 587
        Sep 26, 2012 to Feb 5, 2013
      • Advisory employees · unset to 3.0
        Sep 26, 2012 to Feb 5, 2013
      • Advisory activities · 3 to 4
        Sep 26, 2012 to Feb 5, 2013
      • Employees · unset to 5.0
        Sep 26, 2012 to Feb 5, 2013
      • Discretionary RAUM · $186M to $215M
        Sep 26, 2012 to Feb 5, 2013
      • RAUM · $186M to $215M
        Sep 26, 2012 to Feb 5, 2013
      • HQ city · LOVELAND to JOHNSTOWN
        Feb 22, 2012 to Sep 26, 2012
      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