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••••••••• P••••••• F•••••••• A•••••••

Former SEC-registered adviserLone Tree, ColoradoCRD 118192SEC 801-61885IAPD
Legal name C•••• L••
Latest filing Dec 22, 2014
First filing on the tape Mar 27, 2012 · 5 filings
RAUM
$287M
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
8
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$287M as of Mar 18, 2014
Mar 27, 2012$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 18, 2014
Mar 27, 20120 then
Employees (5.A)8 as of Mar 18, 2014
Mar 26, 20138 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Dec 22, 2014; every figure names its basis
RAUM per advisor
$57.3MderivedRAUM 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
$606,107derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
Custody
$4.9M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
473reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$4.9M for 2 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
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
    • R•••••• R••••••• J•••• · Managing Membercontrol
      since 09/1998 · owns 75% or more
    • H••••• J•••• E•••• · Chief Compliance Officer
      since 11/2007 · owns less than 5%
    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
    • HQ city · GREENWOOD VILLAGE to LONE TREE
      Mar 18, 2014 to Dec 22, 2014
    • Accounts · 469 to 473
      Jul 8, 2013 to Mar 18, 2014
    • Advisory employees · 6 to 7
      Jul 8, 2013 to Mar 18, 2014
    • Advisory activities · 3 to 4
      Jul 8, 2013 to Mar 18, 2014
    • Assets in custody · $4.8M to $4.9M
      Jul 8, 2013 to Mar 18, 2014
    • State-registered IARs · 3 to 5
      Jul 8, 2013 to Mar 18, 2014
    • Discretionary RAUM · $257M to $285M
      Jul 8, 2013 to Mar 18, 2014
    • Non-discretionary RAUM · $1.1M to $1.3M
      Jul 8, 2013 to Mar 18, 2014
    • RAUM · $258M to $287M
      Jul 8, 2013 to Mar 18, 2014
    • Accounts · 380 to 469
      Mar 27, 2012 to Mar 26, 2013
    • Advisory employees · unset to 6.0
      Mar 27, 2012 to Mar 26, 2013
    • Assets in custody · $4.1M to $4.8M
      Mar 27, 2012 to Mar 26, 2013
    • Employees · unset to 8.0
      Mar 27, 2012 to Mar 26, 2013
    • Financial planning clients · 51-100 to 101-250
      Mar 27, 2012 to Mar 26, 2013
    • State-registered IARs · 0 to 3
      Mar 27, 2012 to Mar 26, 2013
    • Discretionary RAUM · $172M to $257M
      Mar 27, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $1.0M to $1.1M
      Mar 27, 2012 to Mar 26, 2013
    • RAUM · $173M to $258M
      Mar 27, 2012 to Mar 26, 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