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Former SEC-registered adviserFormer SEC adviser· Greenwood Village, Colorado

Former SEC-registered adviser, based in Greenwood Village, Colorado, reporting $159M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$159M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+23%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 114733 · SEC 801-64600 · 6 filingsShow
CRD 114733SEC 801-64600First filing on the tape Feb 2, 2012, latest Mar 10, 2014IAPD
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$159M as of Mar 10, 2014
Feb 2, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2014
Feb 2, 20120 then
Employees (5.A)0 as of Mar 10, 2014
Jan 25, 20131 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2014; 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
$171,025derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+23%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individualsreportedItem 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)
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
n/areported
Charitable clients
n/areported
Accounts
929reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    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
      • A••••••••• V•••••• · Managing Member/Chief Compliance Officercontrol
        since 03/2014 · owns 25% to 50%
      • J•••••••• S••••• E•••••••• · Managing Membercontrol
        since 02/2000 · owns 25% to 50%
      • S••••• K•••••••• V•••••• · Managing Membercontrol
        since 01/2012 · owns 25% to 50%
      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
      • Accounts · 940 to 929
        Dec 17, 2013 to Mar 10, 2014
      • Employees · 1 to 0
        Dec 17, 2013 to Mar 10, 2014
      • Discretionary RAUM · $129M to $159M
        Dec 17, 2013 to Mar 10, 2014
      • Non-discretionary RAUM · $67,013 to $80,000
        Dec 17, 2013 to Mar 10, 2014
      • RAUM · $129M to $159M
        Dec 17, 2013 to Mar 10, 2014
      • Accounts · 917 to 940
        Dec 18, 2012 to Jan 25, 2013
      • Discretionary RAUM · $110M to $129M
        Dec 18, 2012 to Jan 25, 2013
      • Non-discretionary RAUM · $76,380 to $67,013
        Dec 18, 2012 to Jan 25, 2013
      • RAUM · $110M to $129M
        Dec 18, 2012 to Jan 25, 2013
      • Advisory employees · unset to 0.0
        Feb 6, 2012 to Dec 18, 2012
      • Employees · unset to 1.0
        Feb 6, 2012 to Dec 18, 2012
      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