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.

Former SEC-registered adviser

Strategies Capital Management

Former SEC-registered adviserDenver, ColoradoCRD 114035SEC 801-62180IAPD
Legal name Strategies LLC
Latest filing Mar 28, 2020
First filing on the tape Apr 2, 2012 · 26 filings
RAUM
$519M
reported, Item 5.F
Discretionary
23%
of RAUM
Private clients
5.9%
$30.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$519M as of Mar 28, 2020
Apr 2, 2012$1.1B then
HNW client RAUM$23.1M as of Mar 28, 2020
Feb 23, 2018$62.6M then
State-registered IARs (5.B.3)4 as of Mar 28, 2020
Mar 22, 20134 then
Employees (5.A)4 as of Mar 28, 2020
Mar 22, 20136 then
Private funds: no history
RAUM +9.9% over the last fiscal year-0.3% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Mar 28, 2020; every figure names its basis
RAUM per advisor
$130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
23%derivedof RAUM
Institutional
79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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$307M59%
  • State and municipal entities$99.9M19%
  • Pooled investment vehicles$76.6M15%
  • High-net-worth individuals$23.1M4.5%
  • Individuals$7.6M1.5%
  • Corporations and businesses$3.3M0.6%
  • Charitable organizations$1.5M0.3%
Individual clients
17reported
HNW clients
11reported
Pension plan clients
13reported
Charitable clients
n/areported
Accounts
97reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • Amedio Thomas Gonnella · Managing Member, Ccocontrol
      since 12/2012 · owns 50% to 75%
    • Martin David Halseth · Managing Membercontrol
      since 06/1993 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Advisers that list Strategies Capital Management as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 42 to 97
      Sep 17, 2019 to Mar 28, 2020
    • Charity clients · 2.0 to unset
      Sep 17, 2019 to Mar 28, 2020
    • Corporate clients · 2.0 to unset
      Sep 17, 2019 to Mar 28, 2020
    • HNW clients · 12 to 11
      Sep 17, 2019 to Mar 28, 2020
    • Individual clients · 22 to 17
      Sep 17, 2019 to Mar 28, 2020
    • Pension plan clients · 12 to 13
      Sep 17, 2019 to Mar 28, 2020
    • Other offices · 1 to 0
      Sep 17, 2019 to Mar 28, 2020
    • Discretionary RAUM · $113M to $121M
      Sep 17, 2019 to Mar 28, 2020
    • HNW RAUM · $53.7M to $23.1M
      Sep 17, 2019 to Mar 28, 2020
    • Individual RAUM · $6.5M to $7.6M
      Sep 17, 2019 to Mar 28, 2020
    • Non-discretionary RAUM · $358M to $398M
      Sep 17, 2019 to Mar 28, 2020
    • Pension RAUM · $291M to $307M
      Sep 17, 2019 to Mar 28, 2020
    • Pooled vehicle RAUM · $55.8M to $76.6M
      Sep 17, 2019 to Mar 28, 2020
    • RAUM · $472M to $519M
      Sep 17, 2019 to Mar 28, 2020
    • Accounts · 40 to 42
      Aug 27, 2018 to Jan 29, 2019
    • Advisory employees · 3 to 4
      Aug 27, 2018 to Jan 29, 2019
    • Charity clients · unset to 2.0
      Aug 27, 2018 to Jan 29, 2019
    • Corporate clients · unset to 2.0
      Aug 27, 2018 to Jan 29, 2019
    • HNW clients · 24 to 12
      Aug 27, 2018 to Jan 29, 2019
    • Individual clients · unset to 22.0
      Aug 27, 2018 to Jan 29, 2019
    • Pension plan clients · 22 to 12
      Aug 27, 2018 to Jan 29, 2019
    • Employees · 6 to 4
      Aug 27, 2018 to Jan 29, 2019
    • State-registered IARs · 3 to 4
      Aug 27, 2018 to Jan 29, 2019
    • Discretionary RAUM · $137M to $113M
      Aug 27, 2018 to Jan 29, 2019
    • HNW RAUM · $62.6M to $53.7M
      Aug 27, 2018 to Jan 29, 2019
    • Individual RAUM · unset to 6522575.0
      Aug 27, 2018 to Jan 29, 2019
    • Non-discretionary RAUM · $424M to $358M
      Aug 27, 2018 to Jan 29, 2019
    • Pension RAUM · $424M to $291M
      Aug 27, 2018 to Jan 29, 2019
    • Pooled vehicle RAUM · $74.8M to $55.8M
      Aug 27, 2018 to Jan 29, 2019
    • RAUM · $562M to $472M
      Aug 27, 2018 to Jan 29, 2019
    • Accounts · 56 to 40
      Aug 4, 2017 to Feb 23, 2018
    • HNW clients · unset to 24.0
      Aug 4, 2017 to Feb 23, 2018
    • Pension plan clients · unset to 22.0
      Aug 4, 2017 to Feb 23, 2018
    • Pooled vehicle clients · unset to 11.0
      Aug 4, 2017 to Feb 23, 2018
    • State-registered IARs · 2 to 3
      Aug 4, 2017 to Feb 23, 2018
    • Other offices · unset to 1.0
      Aug 4, 2017 to Feb 23, 2018
    • Discretionary RAUM · $95.6M to $137M
      Aug 4, 2017 to Feb 23, 2018
    • HNW RAUM · unset to 62639261.0
      Aug 4, 2017 to Feb 23, 2018
    • Non-discretionary RAUM · $427M to $424M
      Aug 4, 2017 to Feb 23, 2018
    • Pension RAUM · unset to 424161527.0
      Aug 4, 2017 to Feb 23, 2018
    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