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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

B•• I••••••••• M••••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 135061SEC 801-64182IAPD
Latest filing Mar 18, 2016
First filing on the tape Apr 2, 2012 · 7 filings
RAUM
$879M
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$879M as of Mar 18, 2016
Apr 2, 2012$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 18, 2016
Apr 1, 20131 then
Employees (5.A)12 as of Mar 18, 2016
Apr 1, 201310 then
Private funds: no history
RAUM +14% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2016; every figure names its basis
RAUM per advisor
$879MderivedRAUM 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
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
12.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 institutions, portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
529reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• J•••• D•••• · Managing Member/Ownercontrol
    since 04/2005 · owns 10% to 25%
  • J•••••• M•••• F•••••••• · Managing Member/Owner/Chief Compliance Officercontrol
    since 04/2005 · owns 10% to 25%
  • R•••••• J•••• R•• · Managing Member/Ownercontrol
    since 04/2005 · owns 50% to 75%
  • W•••• S•••••• L•• · Managing Member/Ownercontrol
    since 04/2005 · owns 10% to 25%
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
  • Accounts · 283 to 529
    Mar 26, 2015 to Mar 18, 2016
  • Discretionary RAUM · $772M to $879M
    Mar 26, 2015 to Mar 18, 2016
  • RAUM · $772M to $879M
    Mar 26, 2015 to Mar 18, 2016
  • Accounts · 385 to 283
    Jan 6, 2015 to Mar 26, 2015
  • BD registered reps · 0 to 1
    Jan 6, 2015 to Mar 26, 2015
  • Employees · 10 to 12
    Jan 6, 2015 to Mar 26, 2015
  • Discretionary RAUM · $695M to $772M
    Jan 6, 2015 to Mar 26, 2015
  • RAUM · $695M to $772M
    Jan 6, 2015 to Mar 26, 2015
  • Accounts · 354 to 385
    Jun 21, 2013 to Mar 27, 2014
  • Discretionary RAUM · $484M to $695M
    Jun 21, 2013 to Mar 27, 2014
  • RAUM · $484M to $695M
    Jun 21, 2013 to Mar 27, 2014
  • Accounts · 326 to 354
    Apr 2, 2012 to Apr 1, 2013
  • Advisory employees · unset to 5.0
    Apr 2, 2012 to Apr 1, 2013
  • Advisory activities · 4 to 3
    Apr 2, 2012 to Apr 1, 2013
  • Employees · unset to 10.0
    Apr 2, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 1.0
    Apr 2, 2012 to Apr 1, 2013
  • Discretionary RAUM · $540M to $484M
    Apr 2, 2012 to Apr 1, 2013
  • RAUM · $540M to $484M
    Apr 2, 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