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•••• G•• H••••••

Former SEC-registered adviserDenver, ColoradoCRD 112167SEC 801-56393IAPD
Legal name G•• H••••••• P•••
Latest filing Dec 4, 2015
First filing on the tape Mar 30, 2012 · 5 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
84
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2015
Mar 30, 20120 then
Employees (5.A)84 as of Mar 19, 2015
Mar 15, 201397 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 4, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
84.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
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
0reported
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
      • F•••••••• M•••••• · Senior Principalcontrol
        since 11/1990 · owns 5% to 10%
      • K•••••• J•••••• R•••• · Senior Principalcontrol
        since 01/2000 · owns 25% to 50%
      • M•••••••• S••••• D•••• · Senior Principalcontrol
        since 01/2004 · owns 5% to 10%
      • M••••••••• C•••••• B••••••••• · Senior Principal/Chief Financial Officercontrol
        since 01/2011 · owns 5% to 10%
      • M•••• L••• · Senior Principalcontrol
        since 01/2000 · owns 5% to 10%
      • P••••••••• N•••••• T•••••• · Senior Principal/Chief Executive Officer & Chief Compliance Officercontrol
        since 01/2007 · owns 5% to 10%
      • R•••••• W••••••• A•••••••• · Senior Principalcontrol
        since 11/1990 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · C•••• H•••••• to C•••• G•• H••••••
        Mar 19, 2015 to Dec 4, 2015
      • Business name · G•• F•••••••• G•••• to C•••• H••••••
        Mar 21, 2014 to Mar 19, 2015
      • Employees · 89 to 84
        Mar 21, 2014 to Mar 19, 2015
      • Employees · 97 to 89
        Mar 15, 2013 to Mar 21, 2014
      • Insurance-licensed employees · 0 to 1
        Mar 15, 2013 to Mar 21, 2014
      • State-registered IARs · 0 to 1
        Mar 15, 2013 to Mar 21, 2014
      • Advisory employees · unset to 0.0
        Mar 30, 2012 to Mar 15, 2013
      • Employees · unset to 97.0
        Mar 30, 2012 to Mar 15, 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