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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SEC-registered adviser
S••••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 6, 2012 · 24 filings
SEC status approved since Apr 22, 2005
RAUM
$528M
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
12
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$528M as of Mar 31, 2026
Mar 6, 2012$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 18, 20130 then
Employees (5.A)12 as of Mar 31, 2026
Mar 18, 20136 then
Private funds8 as of Mar 30, 2021
Mar 6, 20122 then
RAUM +21% over the last fiscal year+48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $44.0MderivedRAUM 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
- unknownderived3 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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- 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$528M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• G••••• P•••••••• L••no longer reported | Private Equity Fund | $134M | 53 | Mar 23, 2016 |
| S••••••• C•••••• P•••••••• L•no longer reported | Private Equity Fund | $56.4M | 48 | Mar 6, 2012 |
| S•• E•• L••no longer reported | Private Equity Fund | $28.5M | 46 | Mar 30, 2021 |
| R•• H••••• L••no longer reported | Private Equity Fund | $28.4M | 39 | Mar 30, 2021 |
| C•••• H••••••• L••no longer reported | Private Equity Fund | $17.8M | 43 | Mar 30, 2021 |
| S•• S••••• L••no longer reported | Private Equity Fund | $10.0M | 4 | Mar 23, 2016 |
| D•• H••••••• L••no longer reported | Private Equity Fund | $6.8M | 18 | Mar 23, 2016 |
| A••••••••• H••••••• L••no longer reported | Private Equity Fund | $6.0M | 30 | Mar 30, 2021 |
| S•• T•• L••no longer reported | Private Equity Fund | $5.2M | 16 | Mar 30, 2021 |
| S••••••• C•••••• P••••••• I••••••••• S••••••••• •••• L•no longer reported | Private Equity Fund | $3.5M | 6 | Mar 25, 2014 |
| S••••••• C•••••• P••••••• I•• L•no longer reported | Private Equity Fund | $3.0M | 78 | Mar 6, 2012 |
| S••••••• C•••••• L••••• V••••• L•no longer reported | Hedge Fund | $2.5M | 16 | Mar 25, 2014 |
| S••••••• C•••••• P••••••• I••••••••• S••••••••• L•no longer reported | Private Equity Fund | $576,525 | 6 | Mar 25, 2014 |
| U•••••••• H••••• L••no longer reported | Private Equity Fund | $0 | 31 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••••••• R••••• · Managing Partnercontrolsince 06/2000 · owns 50% to 75%
- F••••••• R••••• N••••• · Chief Financial Officercontrolsince 10/2013 · owns less than 5%
- M•••••••• M•••• R••••• · Managing Partner And Chief Compliance Officercontrolsince 06/2000 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••• R• M•••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Denver, CO3 employees
- Cincinnati, OH2 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 12Mar 20, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 12Mar 20, 2025 to Mar 31, 2026
- Employees · 9 to 12Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $436M to $528MMar 20, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $436M to $528MMar 20, 2025 to Mar 31, 2026
- RAUM · $436M to $528MMar 20, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jul 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $206M to $436MJul 22, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $206M to $436MJul 22, 2024 to Mar 20, 2025
- RAUM · $206M to $436MJul 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $164M to $206MMar 24, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $164M to $206MMar 24, 2023 to Mar 28, 2024
- RAUM · $164M to $206MMar 24, 2023 to Mar 28, 2024
- Accounts · 10 to 11Mar 30, 2022 to Mar 24, 2023
- Advisory employees · 7 to 9Mar 30, 2022 to Mar 24, 2023
- Pooled vehicle clients · 10 to 11Mar 30, 2022 to Mar 24, 2023
- Employees · 7 to 9Mar 30, 2022 to Mar 24, 2023
- Other offices · 1 to 2Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $173M to $164MMar 30, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $173M to $164MMar 30, 2022 to Mar 24, 2023
- RAUM · $173M to $164MMar 30, 2022 to Mar 24, 2023
- Accounts · 8 to 10May 24, 2021 to Mar 30, 2022
- Pooled vehicle clients · 8 to 10May 24, 2021 to Mar 30, 2022
- Private funds · 8 to unsetMay 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $129M to $173MMay 24, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $129M to $173MMay 24, 2021 to Mar 30, 2022
- RAUM · $129M to $173MMay 24, 2021 to Mar 30, 2022
- Accounts · 10 to 8Apr 17, 2020 to Mar 30, 2021
- Advisory employees · 8 to 7Apr 17, 2020 to Mar 30, 2021
- Advisory activities · 2 to 1Apr 17, 2020 to Mar 30, 2021
- Corporate clients · 7.0 to unsetApr 17, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 8Apr 17, 2020 to Mar 30, 2021
- Employees · 8 to 7Apr 17, 2020 to Mar 30, 2021
- Private funds · 3 to 8Apr 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $89.6M to $129MApr 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $7.1M to $129MApr 17, 2020 to Mar 30, 2021
- RAUM · $89.6M to $129MApr 17, 2020 to Mar 30, 2021
- Advisory employees · 5 to 8May 1, 2019 to Mar 30, 2020
- Employees · 5 to 8May 1, 2019 to Mar 30, 2020
- Financial planning clients · 1-10 to 0May 1, 2019 to Mar 30, 2020
Signals
2 dated events
- S••••••• C•••••• P•••••••• L•• reported RAUM $435.8M, up 112% from $205.9M (2024-07-22 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- S••••••• C•••••• P•••••••• L•• reported RAUM $89.6M, down 70% from $303.3M (2019-05-01 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 248-593-6872reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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