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

I••••••••• C•••••• A•••• P•••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 132833SEC 801-63551IAPD
Latest filing Apr 16, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$1.1B
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
16
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$597M gross assets
History
7 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2015
Mar 29, 2012$499M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 29, 20120 then
Employees (5.A)16 as of Mar 27, 2015
Mar 22, 201314 then
Private funds7 as of Mar 27, 2015
Mar 29, 20124 then
RAUM +21% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 16, 2015; 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
$82.7MderivedRAUM 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
+21%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 individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$590M, 6 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
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
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$590M for 6 clientsreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••• A••••••• R••••• F•••• L•••Hedge Fund$227M35Mar 29, 2012
      I••• Q• A••••••• R••••• F•••• L•••Hedge Fund$207M43Mar 29, 2012
      I••• O••••••• A••••••• R••••• F••• I• L•••Hedge Fund$133M15Mar 29, 2012
      I••••••••• C•••••• A••••••••• F•••• L•••Hedge Fund$14.8M7Mar 22, 2013
      L••••••• I• L•Other Private Fund$6.6M5Mar 27, 2015
      I••••••••• C•••••• S•••• C•• F•••• L•Hedge Fund$5.4M5Mar 29, 2012
      I••••••••• C•••••• S••••• H••••• C••• F•••• L•••Hedge Fund$3.0M2Mar 22, 2013
      I••••••••• C•••••• M••••• N•••••• F•••• L•••no longer reportedHedge Fund$2.2M3Mar 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• A••••• E••••• · Chief Operating Officercontrol
        since 10/2004 · owns less than 5%
      • H••••••• J••••• A•••••• · Chairman, Chief Executive Officer, Ciocontrol
        since 11/2006 · owns 75% or more
      • S••••••• B•••• G•••••••• · Chief Compliance Officer
        since 03/2014 · 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
      • Custody of client assets · false to true
        Mar 27, 2015 to Apr 16, 2015
      • Accounts · 10 to 13
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 9 to 8
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · $580M to $590M
        Mar 31, 2014 to Mar 27, 2015
      • Custody of client assets · true to false
        Mar 31, 2014 to Mar 27, 2015
      • Private funds · 6 to 7
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $888M to $1.1B
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $888M to $1.1B
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 11 to 10
        Mar 22, 2013 to Mar 31, 2014
      • Advisory employees · 7 to 9
        Mar 22, 2013 to Mar 31, 2014
      • BD registered reps · 0 to 2
        Mar 22, 2013 to Mar 31, 2014
      • Assets in custody · $485M to $580M
        Mar 22, 2013 to Mar 31, 2014
      • Employees · 14 to 16
        Mar 22, 2013 to Mar 31, 2014
      • Private funds · 7 to 6
        Mar 22, 2013 to Mar 31, 2014
      • Discretionary RAUM · $677M to $888M
        Mar 22, 2013 to Mar 31, 2014
      • RAUM · $677M to $888M
        Mar 22, 2013 to Mar 31, 2014
      • Accounts · 10 to 11
        May 14, 2012 to Mar 22, 2013
      • Advisory employees · unset to 7.0
        May 14, 2012 to Mar 22, 2013
      • Assets in custody · $250M to $485M
        May 14, 2012 to Mar 22, 2013
      • Employees · unset to 14.0
        May 14, 2012 to Mar 22, 2013
      • Private funds · 4 to 7
        May 14, 2012 to Mar 22, 2013
      • Discretionary RAUM · $499M to $677M
        May 14, 2012 to Mar 22, 2013
      • RAUM · $499M to $677M
        May 14, 2012 to Mar 22, 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