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

Genesee Investments

Former SEC-registered adviserBellevue, WashingtonCRD 122261SEC 801-61635IAPD
Legal name Genesee Investments LLC
Latest filing Mar 28, 2019
First filing on the tape Mar 23, 2012 · 10 filings
RAUM
$398,201
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$398,201 gross assets
History
10 filings and snapshots on the tape
RAUM$398,201 as of Mar 28, 2019
Mar 23, 2012$40.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Apr 1, 20130 then
Employees (5.A)4 as of Mar 28, 2019
Apr 1, 20133 then
Private funds1 as of Mar 28, 2019
Mar 23, 20121 then
RAUM -92% over the last fiscal year-73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
$99,550derivedRAUM 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
-92%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$398,201100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Genesee Master Balanced Fund LtdHedge Fund$398,20137Mar 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A. Howard Coleman · Managing Directorcontrol
        since 01/2003 · owns less than 5%
      • Michael Kevin Fitzwilson · Managing Shareholdercontrol
        since 10/1997 · owns 25% to 50% of Coldstream Capital Management Inc.
      • Eng Erika Yelle · Chief Compliance Officer
        since 03/2011 · owns less than 5%
      Entity owners
      • Coldstream Capital Management Inc · Parent Company| Sole /Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list Genesee Investments as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $4.8M to $398,201
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $4.8M to $398,201
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $4.8M to $398,201
        Mar 28, 2018 to Mar 28, 2019
      • Accounts · 4 to 2
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $19.6M to $4.8M
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 4751905.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $19.6M to $4.8M
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $21.3M to $19.6M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $21.3M to $19.6M
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $21.7M to $21.3M
        Jun 12, 2015 to Mar 30, 2016
      • RAUM · $21.7M to $21.3M
        Jun 12, 2015 to Mar 30, 2016
      • Advisory employees · 1 to 2
        Oct 17, 2014 to Mar 30, 2015
      • BD registered reps · 0 to 1
        Oct 17, 2014 to Mar 30, 2015
      • Employees · 3 to 4
        Oct 17, 2014 to Mar 30, 2015
      • Discretionary RAUM · $51.7M to $21.7M
        Oct 17, 2014 to Mar 30, 2015
      • RAUM · $51.7M to $21.7M
        Oct 17, 2014 to Mar 30, 2015
      • Accounts · 6 to 4
        Apr 1, 2013 to Mar 27, 2014
      • Advisory employees · 2 to 1
        Apr 1, 2013 to Mar 27, 2014
      • Assets in custody · $3.4M to $0
        Apr 1, 2013 to Mar 27, 2014
      • Custody of client assets · true to false
        Apr 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $51.1M to $51.7M
        Apr 1, 2013 to Mar 27, 2014
      • RAUM · $51.1M to $51.7M
        Apr 1, 2013 to Mar 27, 2014
      • Accounts · 4 to 6
        Mar 23, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 23, 2012 to Apr 1, 2013
      • Assets in custody · $8.0M to $3.4M
        Mar 23, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Mar 23, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 23, 2012 to Apr 1, 2013
      • Discretionary RAUM · $40.2M to $51.1M
        Mar 23, 2012 to Apr 1, 2013
      • RAUM · $40.2M to $51.1M
        Mar 23, 2012 to Apr 1, 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