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

F•••• W•••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 128013SEC 801-62285IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$107M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$107M as of Mar 28, 2013
Mar 30, 2012$500M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 2
Private funds: 1
RAUM -79% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; every figure names its basis
RAUM per advisor
$107MderivedRAUM 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
$282,186derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-79%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
379reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
F•••• W•••••• T••• L••Other Private Fund$803,5877Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • G•••••• K••••• L••••• · Chief Compliance Officercontrol
    since 01/2005 · owns less than 5%
  • O••••• W•••••• J••••• · Chairman, Ceocontrol
    since 07/2003 · owns less than 5%
  • P•••• K••••• S•• · Vice Presidentcontrol
    since 07/2003 · owns less than 5%
  • W••••• S••••• C• · Vice Chairmancontrol
    since 07/2003 · owns less than 5%
  • C•••••••• J•••• · Treasurer
    since 07/2009 · owns less than 5%
  • S••••••••• L••• · Secretary
    since 07/2009 · owns less than 5%
Entity owners
  • F•••• W•••••• F••••••••• I••• · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 386 to 379
    Nov 20, 2012 to Mar 28, 2013
  • Advisory activities · 3 to 2
    Nov 20, 2012 to Mar 28, 2013
  • Employees · 3 to 2
    Nov 20, 2012 to Mar 28, 2013
  • Private funds · 1 to unset
    Nov 20, 2012 to Mar 28, 2013
  • Discretionary RAUM · $111M to $107M
    Nov 20, 2012 to Mar 28, 2013
  • RAUM · $111M to $107M
    Nov 20, 2012 to Mar 28, 2013
  • Accounts · 921 to 386
    May 21, 2012 to Nov 20, 2012
  • Advisory employees · unset to 1.0
    May 21, 2012 to Nov 20, 2012
  • BD registered reps · unset to 0.0
    May 21, 2012 to Nov 20, 2012
  • Employees · unset to 3.0
    May 21, 2012 to Nov 20, 2012
  • State-registered IARs · unset to 1.0
    May 21, 2012 to Nov 20, 2012
  • Discretionary RAUM · $454M to $111M
    May 21, 2012 to Nov 20, 2012
  • Non-discretionary RAUM · $46.5M to $0
    May 21, 2012 to Nov 20, 2012
  • RAUM · $500M to $111M
    May 21, 2012 to Nov 20, 2012
  • Advisory activities · 4 to 3
    Mar 30, 2012 to May 21, 2012
  • Insurance-licensed employees · 1 to 0
    Mar 30, 2012 to May 21, 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