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

Knox Capital Advisors, LLC

Former SEC-registered adviserDraper, UtahCRD 131000SEC 801-67313IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 8, 2012 · 12 filings
RAUM
$41.8M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
100%
$41.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$4.9M gross assets
History
12 filings and snapshots on the tape
RAUM$41.8M as of Mar 29, 2018
Mar 8, 2012$139M then
HNW client RAUM: $41.4M
State-registered IARs (5.B.3)3 as of Mar 29, 2018
Mar 28, 20136 then
Employees (5.A)3 as of Mar 29, 2018
Mar 28, 20137 then
Private funds2 as of Mar 29, 2018
Mar 8, 20123 then
RAUM -79% over the last fiscal year-35% a year over threeIARs 9 to 3
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$13.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$530,799derivedHNW RAUM over HNW clients
Average account
$247,217derivedRAUM over accounts (5.F.2.f)
Discretionary
12%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-79%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, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$41.4M99%
  • Individuals$377,3990.9%
Individual clients
11reported
HNW clients
78reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
169reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Knox Opportunity Fund, LPPrivate Equity Fund$4.6M20Mar 8, 2012
    Alpine Strategic Fund, LLCno longer reportedPrivate Equity Fund$2.0M8Mar 8, 2012
    Knox Prime Fund, LLCHedge Fund$371,30973Mar 8, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Dean Brodie Barnes · Managing Member & Chief Executive Officercontrol
      since 04/2009 · owns less than 5%
    • Martin Stanley Kimball · Managing Membercontrol
      since 01/2006 · owns less than 5%
    • Rowe Ryan Wright · Chief Compliance Officercontrol
      since 02/2013 · owns less than 5%
    Entity owners
    • Crimson Holdings, LLC · Holding Company
      direct · owns 75% or more
    • Brokar Investments, LLC · Managing Partner
      indirect · owns 50% to 75% of Crimson Holdings, LLC
    • Terra Alta, LLC · Managing Partner
      indirect · owns 50% to 75% of Crimson Holdings, LLC
    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 · 487 to 169
      Dec 12, 2017 to Mar 29, 2018
    • Advisory employees · 9 to 3
      Dec 12, 2017 to Mar 29, 2018
    • BD registered reps · 9 to 3
      Dec 12, 2017 to Mar 29, 2018
    • HNW clients · unset to 78.0
      Dec 12, 2017 to Mar 29, 2018
    • Individual clients · unset to 11.0
      Dec 12, 2017 to Mar 29, 2018
    • Employees · 9 to 3
      Dec 12, 2017 to Mar 29, 2018
    • State-registered IARs · 9 to 3
      Dec 12, 2017 to Mar 29, 2018
    • Discretionary RAUM · $167M to $5.1M
      Dec 12, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 41402297.0
      Dec 12, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 377399.0
      Dec 12, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $32.3M to $36.7M
      Dec 12, 2017 to Mar 29, 2018
    • RAUM · $199M to $41.8M
      Dec 12, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 16, 2017 to Dec 12, 2017
    • Related adviser · false to true
      Mar 16, 2017 to Dec 12, 2017
    • Accounts · 462 to 487
      Nov 17, 2016 to Mar 16, 2017
    • Advisory employees · 7 to 9
      Nov 17, 2016 to Mar 16, 2017
    • BD registered reps · 7 to 9
      Nov 17, 2016 to Mar 16, 2017
    • Employees · 7 to 9
      Nov 17, 2016 to Mar 16, 2017
    • Financial planning clients · 11-25 to 1-10
      Nov 17, 2016 to Mar 16, 2017
    • State-registered IARs · 7 to 9
      Nov 17, 2016 to Mar 16, 2017
    • Discretionary RAUM · $129M to $167M
      Nov 17, 2016 to Mar 16, 2017
    • Non-discretionary RAUM · $5.6M to $32.3M
      Nov 17, 2016 to Mar 16, 2017
    • RAUM · $134M to $199M
      Nov 17, 2016 to Mar 16, 2017
    • Accounts · 865 to 462
      Nov 23, 2015 to Mar 9, 2016
    • Advisory employees · 10 to 7
      Nov 23, 2015 to Mar 9, 2016
    • BD registered reps · 11 to 7
      Nov 23, 2015 to Mar 9, 2016
    • Employees · 11 to 7
      Nov 23, 2015 to Mar 9, 2016
    • State-registered IARs · 11 to 7
      Nov 23, 2015 to Mar 9, 2016
    • Discretionary RAUM · $153M to $129M
      Nov 23, 2015 to Mar 9, 2016
    • Non-discretionary RAUM · $0 to $5.6M
      Nov 23, 2015 to Mar 9, 2016
    • RAUM · $153M to $134M
      Nov 23, 2015 to Mar 9, 2016
    • Accounts · 739 to 865
      Mar 27, 2014 to Feb 2, 2015
    • Advisory employees · 5 to 10
      Mar 27, 2014 to Feb 2, 2015
    • BD registered reps · 6 to 11
      Mar 27, 2014 to Feb 2, 2015
    • Employees · 6 to 11
      Mar 27, 2014 to Feb 2, 2015
    • State-registered IARs · 6 to 11
      Mar 27, 2014 to Feb 2, 2015
    • Discretionary RAUM · $117M to $153M
      Mar 27, 2014 to Feb 2, 2015
    • Non-discretionary RAUM · $13.2M to $0
      Mar 27, 2014 to Feb 2, 2015
    • RAUM · $130M to $153M
      Mar 27, 2014 to Feb 2, 2015
    • Accounts · 700 to 739
      Mar 28, 2013 to Mar 27, 2014
    Signals
    1 dated events
    • Knox Capital Advisors, Llc reported RAUM $41.8M, down 79% from $199.1M (2017-12-12 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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