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••••••••• G•••• I••
Latest filing Jul 28, 2019
First filing on the tape Aug 1, 2016 · 13 filings
RAUM
$13.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$12.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$13.1M as of Mar 27, 2019
Mar 23, 2017$6.0M then
HNW client RAUM$6.3M as of Mar 27, 2019
Mar 15, 2018$1.3M then
State-registered IARs (5.B.3)7 as of Mar 27, 2019
Mar 23, 20173 then
Employees (5.A)13 as of Mar 27, 2019
Mar 23, 20177 then
Private funds: no history
RAUM +80% over the last fiscal yearIARs 4 to 7offices 0 to 1
Practice profile
derived from the filing of Jul 28, 2019; every figure names its basis
- RAUM per advisor
- $1.9MderivedRAUM 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
- $187,166derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +80%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $3.0M, 24 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.6M50%
- High-net-worth individuals$6.3M48%
- Pension and profit-sharing plans$180,0001.4%
- Individual clients
- 22reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 24 clientsreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- G••••• A• L••••••• to W•••••• • A••••••••• L••Dec 18, 2019 · RIA to RIA
- K•••• F••••• to W•••••• • A••••••••• L••Dec 18, 2019 · RIA to RIA
- C•••••• D•••• A•••••• to M•••• W••••• M••••••••• L••Dec 18, 2019 · Other
- G•••••• A••• W•••••• to M•••• W••••• M••••••••• L••Dec 18, 2019 · Other
- L•••••• K•• L••••••• to U•• F•••••••• S••••••• I•••Nov 21, 2019 · RIA to wirehouse
- M•••••• R••••• B•••• to T••••••••• W•••••Mar 5, 2018 · Other
- L•••• B•••• L••••• to W•••••••• I••••••••• L••Mar 18, 2014 · Other
- L•••• B•••• L••••• to G••••• W••••• M••••••••• I•••Nov 17, 2009 · Other
- J••••• D• T••••• to K•••••• F•••••••• A•••••••• I•••Jul 20, 2005 · Other
Joined, latest
- L•••••• K•• L••••••• from W•••••• • A••••••••• L••Apr 22, 2019 · RIA to RIA
- K•••• F••••• from S••••• W••••• A•••••••• I•••Feb 22, 2019 · Other
- M•••••• R••••• B•••• from W•••••• • A••••••••• L••Mar 15, 2017 · Other
- C•••••• D•••• A•••••• from M••••• L•••••Jun 21, 2016 · Other
- G•••••• A••• W•••••• from M••••• L•••••May 13, 2016 · Other
- L•••• B•••• L••••• from G••••• W••••• M••••••••• I•••Nov 29, 2011 · Other
- J••••• D• T••••• from S••••• S••••••••• C•••••••••Sep 16, 1999 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W•••••• • A••••••••• L••Dec 18, 2019 · Littleton, Co
- 2 left for M•••• W••••• M••••••••• L••Dec 18, 2019 · Littleton, Co
- 2 joined from M••••• L•••••Apr 2, 2015 · Littleton, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• G••••••• A••• · Chief Executive Officer & Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
- W•••••• • A••••••••• L••investment adviseryRAUM $587M
Advisers that list C•••••• I••••••••• G•••• I•• as a related person
- 174406 n
Offices
Schedule D 1.F, the 25 largest
- Evergreen, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 66 to 70Mar 15, 2018 to Mar 27, 2019
- Advisory employees · 5 to 6Mar 15, 2018 to Mar 27, 2019
- Advisory activities · 3 to 4Mar 15, 2018 to Mar 27, 2019
- Individual clients · 24 to 22Mar 15, 2018 to Mar 27, 2019
- Assets in custody · unset to 2984106.0Mar 15, 2018 to Mar 27, 2019
- Custody of client assets · false to trueMar 15, 2018 to Mar 27, 2019
- Employees · 9 to 13Mar 15, 2018 to Mar 27, 2019
- Insurance-licensed employees · 4 to 7Mar 15, 2018 to Mar 27, 2019
- State-registered IARs · 4 to 7Mar 15, 2018 to Mar 27, 2019
- Other offices · 0 to 1Mar 15, 2018 to Mar 27, 2019
- Discretionary RAUM · $7.3M to $13.1MMar 15, 2018 to Mar 27, 2019
- HNW RAUM · $1.3M to $6.3MMar 15, 2018 to Mar 27, 2019
- Individual RAUM · $5.8M to $6.6MMar 15, 2018 to Mar 27, 2019
- Pension RAUM · $136,602 to $180,000Mar 15, 2018 to Mar 27, 2019
- RAUM · $7.3M to $13.1MMar 15, 2018 to Mar 27, 2019
- Accounts · 56 to 66Mar 23, 2017 to Mar 15, 2018
- Advisory employees · 4 to 5Mar 23, 2017 to Mar 15, 2018
- Individual clients · unset to 24.0Mar 23, 2017 to Mar 15, 2018
- Employees · 7 to 9Mar 23, 2017 to Mar 15, 2018
- Insurance-licensed employees · 3 to 4Mar 23, 2017 to Mar 15, 2018
- Financial planning clients · 1-10 to 0Mar 23, 2017 to Mar 15, 2018
- State-registered IARs · 3 to 4Mar 23, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Mar 15, 2018
- Discretionary RAUM · $6.0M to $7.3MMar 23, 2017 to Mar 15, 2018
- HNW RAUM · unset to 1309535.0Mar 23, 2017 to Mar 15, 2018
- Individual RAUM · unset to 5819884.0Mar 23, 2017 to Mar 15, 2018
- Pension RAUM · unset to 136602.0Mar 23, 2017 to Mar 15, 2018
- RAUM · $6.0M to $7.3MMar 23, 2017 to Mar 15, 2018
- Accounts · 60 to 56Sep 29, 2016 to Mar 23, 2017
- Advisory employees · 5 to 4Sep 29, 2016 to Mar 23, 2017
- Employees · 5 to 7Sep 29, 2016 to Mar 23, 2017
- Insurance-licensed employees · 5 to 3Sep 29, 2016 to Mar 23, 2017
- Financial planning clients · 51-100 to 1-10Sep 29, 2016 to Mar 23, 2017
- State-registered IARs · 5 to 3Sep 29, 2016 to Mar 23, 2017
- Discretionary RAUM · $4.7M to $6.0MSep 29, 2016 to Mar 23, 2017
- RAUM · $4.7M to $6.0MSep 29, 2016 to Mar 23, 2017
- Succession · true to falseAug 5, 2016 to Aug 9, 2016
- Succession · true to falseAug 1, 2016 to Aug 5, 2016
- Succession · false to trueAug 5, 2016 to Aug 5, 2016
Signals
4 dated events
- Jeff Wambolt (Chief Compliance Officer) no longer on Schedule A of C•••••• I••••••••• G•••• I•• (listed 2019-07-09, absent 2019-07-28)Jul 28, 2019 · Control person left · inference
- Jeff Wambolt (Chief Compliance Officer) appeared on Schedule A of C•••••• I••••••••• G•••• I••Apr 25, 2019 · Control person joined · fact
- C•••••• I••••••••• G•••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 1, 2016 · Succession (Item 4) · fact
- C•••••• I••••••••• G•••• I•• filed its initial SEC registration (Form ADV)Aug 1, 2016 · 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