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••••• I••••••••• C••••••• L••

Former SEC-registered adviserBroomfield, ColoradoCRD 112198SEC 801-110175IAPD
Latest filing Jun 25, 2020
First filing on the tape Feb 3, 2012 · 6 filings
RAUM
$107M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
52%
$55.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$107M as of Feb 27, 2020
Feb 3, 2012$82.0M then
HNW client RAUM$46.1M as of Feb 27, 2020
Mar 9, 2018$39.3M then
State-registered IARs (5.B.3)0 as of Feb 27, 2020
Feb 3, 20120 then
Employees (5.A)5 as of Feb 27, 2020
Mar 9, 20185 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 4 to 0
Practice profile
derived from the filing of Jun 25, 2020; 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
$1.3MderivedHNW RAUM over HNW clients
Average account
$870,046derivedRAUM over accounts (5.F.2.f)
Discretionary
69%derivedof RAUM
Institutional
48%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
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
  • 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
  • Pension and profit-sharing plans$46.3M43%
  • High-net-worth individuals$46.1M43%
  • Individuals$9.2M8.6%
  • Charitable organizations$5.1M4.8%
  • Corporations and businesses$267,2910.2%
Individual clients
45reported
HNW clients
35reported
Pension plan clients
33reported
Charitable clients
8reported
Accounts
123reported
Financial planning clients
51-100reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• D•••••• E••••• · Membercontrol
    since 01/2006 · owns less than 5%
  • C•••••• M•••• P•••••• · Managing Member & Chief Compliance Officercontrol
    since 01/1997 · owns 75% or more
Related persons
Schedule D 7.A
  • C••••• I•••••••• S••••••• L••
    real estatey
  • D•• E••••••••• I••
    LP sponsory
Advisers that list C••••• I••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 104 to 123
    Feb 21, 2019 to Feb 27, 2020
  • Advisory activities · 5 to 6
    Feb 21, 2019 to Feb 27, 2020
  • Charity clients · unset to 8.0
    Feb 21, 2019 to Feb 27, 2020
  • Corporate clients · unset to 2.0
    Feb 21, 2019 to Feb 27, 2020
  • HNW clients · 30 to 35
    Feb 21, 2019 to Feb 27, 2020
  • Individual clients · 44 to 45
    Feb 21, 2019 to Feb 27, 2020
  • Pension plan clients · 31 to 33
    Feb 21, 2019 to Feb 27, 2020
  • Financial planning clients · 101-250 to 51-100
    Feb 21, 2019 to Feb 27, 2020
  • State-registered IARs · 4 to 0
    Feb 21, 2019 to Feb 27, 2020
  • Discretionary RAUM · $62.2M to $74.0M
    Feb 21, 2019 to Feb 27, 2020
  • HNW RAUM · $38.7M to $46.1M
    Feb 21, 2019 to Feb 27, 2020
  • Individual RAUM · $8.6M to $9.2M
    Feb 21, 2019 to Feb 27, 2020
  • Non-discretionary RAUM · $28.4M to $33.1M
    Feb 21, 2019 to Feb 27, 2020
  • Pension RAUM · $39.7M to $46.3M
    Feb 21, 2019 to Feb 27, 2020
  • RAUM · $90.6M to $107M
    Feb 21, 2019 to Feb 27, 2020
  • Accounts · 116 to 104
    Mar 9, 2018 to Feb 21, 2019
  • Charity clients · 12.0 to unset
    Mar 9, 2018 to Feb 21, 2019
  • Pension plan clients · 28 to 31
    Mar 9, 2018 to Feb 21, 2019
  • Discretionary RAUM · $63.3M to $62.2M
    Mar 9, 2018 to Feb 21, 2019
  • HNW RAUM · $39.3M to $38.7M
    Mar 9, 2018 to Feb 21, 2019
  • Individual RAUM · $8.4M to $8.6M
    Mar 9, 2018 to Feb 21, 2019
  • Non-discretionary RAUM · $34.1M to $28.4M
    Mar 9, 2018 to Feb 21, 2019
  • Pension RAUM · $45.3M to $39.7M
    Mar 9, 2018 to Feb 21, 2019
  • RAUM · $97.4M to $90.6M
    Mar 9, 2018 to Feb 21, 2019
  • Accounts · 129 to 116
    Mar 9, 2017 to Mar 9, 2018
  • Charity clients · unset to 12.0
    Mar 9, 2017 to Mar 9, 2018
  • HNW clients · unset to 30.0
    Mar 9, 2017 to Mar 9, 2018
  • Individual clients · unset to 44.0
    Mar 9, 2017 to Mar 9, 2018
  • Pension plan clients · unset to 28.0
    Mar 9, 2017 to Mar 9, 2018
  • Other offices · unset to 0.0
    Mar 9, 2017 to Mar 9, 2018
  • Discretionary RAUM · $52.7M to $63.3M
    Mar 9, 2017 to Mar 9, 2018
  • HNW RAUM · unset to 39295348.0
    Mar 9, 2017 to Mar 9, 2018
  • Individual RAUM · unset to 8413731.0
    Mar 9, 2017 to Mar 9, 2018
  • Non-discretionary RAUM · $48.7M to $34.1M
    Mar 9, 2017 to Mar 9, 2018
  • Pension RAUM · unset to 45322782.0
    Mar 9, 2017 to Mar 9, 2018
  • RAUM · $101M to $97.4M
    Mar 9, 2017 to Mar 9, 2018
  • Accounts · 119 to 129
    Feb 3, 2012 to Mar 9, 2017
  • Advisory employees · unset to 4.0
    Feb 3, 2012 to Mar 9, 2017
  • BD registered reps · unset to 1.0
    Feb 3, 2012 to Mar 9, 2017
  • Commission compensation · true to false
    Feb 3, 2012 to Mar 9, 2017
Signals
1 dated events
  • C••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 9, 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