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

E•••• A•••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 112504SEC 801-63213IAPD
Latest filing Mar 1, 2021
First filing on the tape Mar 27, 2012 · 19 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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 1, 2021
Feb 6, 20130 then
Employees (5.A)2 as of Mar 1, 2021
Feb 6, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2021; 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
6,336reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
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
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
    • W••••• C••••••••• L•• · Chief Compliance Officercontrol
      since 11/2014 · owns less than 5%
    Entity owners
    • F•••••••• I••• · Sole Member Of LLC
      direct · owns 75% or more
    • P•••••• H•••••••• L•• · Partner
      indirect · owns F of F•••••••• I•••
    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
    • Pension plan clients · 5,664 to 6,336
      Mar 27, 2020 to Mar 1, 2021
    • Pension plan clients · 5,226 to 5,664
      Oct 21, 2019 to Mar 27, 2020
    • Pension plan clients · 5,056 to 5,226
      Jul 18, 2019 to Sep 17, 2019
    • Pension plan clients · 4,901 to 5,056
      Mar 28, 2019 to Jun 20, 2019
    • Pension plan clients · 4,430 to 4,901
      Mar 29, 2018 to Mar 28, 2019
    • Other offices · 1 to 0
      Mar 29, 2018 to Mar 28, 2019
    • Pension plan clients · unset to 4430.0
      Jun 20, 2017 to Mar 29, 2018
    • Financial planning clients · 0 to unset
      Jun 20, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Jun 20, 2017 to Mar 29, 2018
    • Related broker-dealer · true to false
      Jun 20, 2017 to Mar 29, 2018
    • Advisory employees · 1 to 2
      Mar 30, 2016 to Mar 30, 2017
    • BD registered reps · 1 to 2
      Mar 30, 2016 to Mar 30, 2017
    • Employees · 1 to 2
      Mar 30, 2016 to Mar 30, 2017
    • Related broker-dealer · false to true
      Apr 1, 2015 to Mar 30, 2016
    • BD registered reps · 0 to 1
      Mar 26, 2014 to Apr 1, 2015
    • Employees · 2 to 1
      Mar 26, 2014 to Apr 1, 2015
    • Employees · 1 to 2
      Feb 6, 2013 to Mar 26, 2014
    • Advisory employees · unset to 1.0
      Aug 14, 2012 to Feb 6, 2013
    • Employees · unset to 1.0
      Aug 14, 2012 to Feb 6, 2013
    • State-registered IARs · unset to 0.0
      Aug 14, 2012 to Feb 6, 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