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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F•••••••• D••••• • M••••••••• I•••

Former SEC-registered adviserFort Collins, ColoradoCRD 113387SEC 801-63233IAPD
Latest filing Apr 2, 2020
First filing on the tape Nov 8, 2011 · 19 filings
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$199M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$205M as of Apr 2, 2020
Mar 29, 2012$111M then
HNW client RAUM$95.4M as of Apr 2, 2020
Mar 26, 2018$95.6M then
State-registered IARs (5.B.3)7 as of Apr 2, 2020
Apr 1, 20137 then
Employees (5.A)7 as of Apr 2, 2020
Apr 1, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+1.4% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 2, 2020; every figure names its basis
RAUM per advisor
$29.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$983,987derivedHNW RAUM over HNW clients
Average account
$335,018derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$186MreportedItem 5.I
Custody
$205M, 460 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$103M51%
  • High-net-worth individuals$95.4M47%
  • Corporations and businesses$4.0M1.9%
  • Pension and profit-sharing plans$1.9M0.9%
Individual clients
359reported
HNW clients
97reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
611reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$205M for 460 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••••• D••••• N• · Secretary/Treasurercontrol
      since 09/1988 · owns less than 5%
    • K•••••••• M•••• L•••• · President, Chief Investment Officer & Chief Compliance Officercontrol
      since 09/1988 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Erie, CO1 employees
    • Greenwood Village, CO1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 613 to 611
      Nov 26, 2019 to Apr 2, 2020
    • HNW clients · 90 to 97
      Nov 26, 2019 to Apr 2, 2020
    • Individual clients · 366 to 359
      Nov 26, 2019 to Apr 2, 2020
    • Pension plan clients · 2 to 1
      Nov 26, 2019 to Apr 2, 2020
    • Assets in custody · $176M to $205M
      Nov 26, 2019 to Apr 2, 2020
    • Discretionary RAUM · $176M to $205M
      Nov 26, 2019 to Apr 2, 2020
    • HNW RAUM · $74.3M to $95.4M
      Nov 26, 2019 to Apr 2, 2020
    • Individual RAUM · $96.8M to $103M
      Nov 26, 2019 to Apr 2, 2020
    • Pension RAUM · $1.7M to $1.9M
      Nov 26, 2019 to Apr 2, 2020
    • RAUM · $176M to $205M
      Nov 26, 2019 to Apr 2, 2020
    • Accounts · 637 to 613
      Mar 26, 2018 to Mar 14, 2019
    • Corporate clients · 4 to 3
      Mar 26, 2018 to Mar 14, 2019
    • HNW clients · 99 to 90
      Mar 26, 2018 to Mar 14, 2019
    • Individual clients · 382 to 366
      Mar 26, 2018 to Mar 14, 2019
    • Assets in custody · $206M to $176M
      Mar 26, 2018 to Mar 14, 2019
    • Discretionary RAUM · $206M to $176M
      Mar 26, 2018 to Mar 14, 2019
    • HNW RAUM · $95.6M to $74.3M
      Mar 26, 2018 to Mar 14, 2019
    • Individual RAUM · $105M to $96.8M
      Mar 26, 2018 to Mar 14, 2019
    • Pension RAUM · $1.6M to $1.7M
      Mar 26, 2018 to Mar 14, 2019
    • RAUM · $206M to $176M
      Mar 26, 2018 to Mar 14, 2019
    • Accounts · 467 to 637
      Nov 28, 2017 to Mar 26, 2018
    • Charity clients · unset to 0.0
      Nov 28, 2017 to Mar 26, 2018
    • Corporate clients · unset to 4.0
      Nov 28, 2017 to Mar 26, 2018
    • HNW clients · unset to 99.0
      Nov 28, 2017 to Mar 26, 2018
    • Individual clients · unset to 382.0
      Nov 28, 2017 to Mar 26, 2018
    • Pension plan clients · unset to 2.0
      Nov 28, 2017 to Mar 26, 2018
    • Pooled vehicle clients · unset to 0.0
      Nov 28, 2017 to Mar 26, 2018
    • Assets in custody · unset to 205822168.0
      Nov 28, 2017 to Mar 26, 2018
    • Custody of client assets · false to true
      Nov 28, 2017 to Mar 26, 2018
    • Discretionary RAUM · $197M to $206M
      Nov 28, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 95625089.0
      Nov 28, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 104666282.0
      Nov 28, 2017 to Mar 26, 2018
    • Pension RAUM · unset to 1593503.0
      Nov 28, 2017 to Mar 26, 2018
    • RAUM · $197M to $206M
      Nov 28, 2017 to Mar 26, 2018
    • Wrap assets (sponsor) · $201M to $0
      Nov 28, 2017 to Mar 26, 2018
    • Other offices · unset to 3.0
      Mar 31, 2017 to Nov 28, 2017
    • Wrap assets (manager) · unset to 0.0
      Mar 31, 2017 to Nov 28, 2017
    • Wrap assets (sponsor) · unset to 201238872.0
      Mar 31, 2017 to Nov 28, 2017
    • Accounts · 609 to 467
      Mar 22, 2016 to Mar 31, 2017
    • Financial planning clients · 26-50 to 11-25
      Mar 22, 2016 to Mar 31, 2017
    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