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

R•• R•••• C•••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 135117SEC 801-67832IAPD
Latest filing Aug 19, 2022
First filing on the tape Feb 15, 2012 · 27 filings
RAUM
$126M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$126M as of Mar 31, 2022
Feb 15, 2012$731M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Feb 19, 20130 then
Employees (5.A)9 as of Mar 31, 2022
Feb 19, 201311 then
Private funds: no history
RAUM -4.0% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 19, 2022; 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
$62.8MderivedRAUM 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
-4.0%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, otherreportedItem 5.E
Advisory activities
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$126M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• R••••••• C•••• · Svp, General Counselcontrol
        since 02/2018 · owns less than 5%
      • S••••• L••••• A••••• · President, Managing Membercontrol
        since 10/2019 · owns less than 5%
      • S•••••• M••••••• J••••• · Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      Entity owners
      • A••• A•••••••• I••• · Parent, Member
        direct · owns 75% or more
      • A••• H•••••••• I••• · Owner
        indirect · owns 75% or more of A••• A•••••••• I•••
      • D•• S••••••• I••• · Owner
        indirect · owns 75% or more of A••• H•••••••• I••• · public reporting company
      • S••• T••••••••• H•••••••• I••• · Owner
        indirect · owns 75% or more of S••• T••••••••• I••• · public reporting company
      • S••• T••••••••• I••• · Owner
        indirect · owns 75% or more of D•• S••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Mar 30, 2021 to Mar 31, 2022
      • Employees · 10 to 9
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $131M to $126M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $131M to $126M
        Mar 30, 2021 to Mar 31, 2022
      • BD registered reps · 3 to 4
        Mar 27, 2020 to Mar 30, 2021
      • Advisory employees · 6 to 5
        Mar 27, 2020 to Mar 30, 2021
      • Employees · 12 to 10
        Mar 27, 2020 to Mar 30, 2021
      • Discretionary RAUM · $194M to $131M
        Mar 27, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 27, 2020 to Mar 30, 2021
      • RAUM · $194M to $131M
        Mar 27, 2020 to Mar 30, 2021
      • Advisory employees · 5 to 6
        Nov 25, 2019 to Mar 27, 2020
      • BD registered reps · 5 to 3
        Nov 25, 2019 to Mar 27, 2020
      • Discretionary RAUM · $209M to $194M
        Nov 25, 2019 to Mar 27, 2020
      • RAUM · $209M to $194M
        Nov 25, 2019 to Mar 27, 2020
      • Accounts · 3 to 2
        Jul 10, 2018 to Mar 26, 2019
      • Advisory employees · 4 to 5
        Jul 10, 2018 to Mar 26, 2019
      • Advisory activities · 2 to 1
        Jul 10, 2018 to Mar 26, 2019
      • BD registered reps · 4 to 5
        Jul 10, 2018 to Mar 26, 2019
      • Pooled vehicle clients · 1 to 0
        Jul 10, 2018 to Mar 26, 2019
      • Employees · 13 to 12
        Jul 10, 2018 to Mar 26, 2019
      • Discretionary RAUM · $259M to $209M
        Jul 10, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $21.5M to $0
        Jul 10, 2018 to Mar 26, 2019
      • RAUM · $259M to $209M
        Jul 10, 2018 to Mar 26, 2019
      • Advisory employees · 3 to 4
        Nov 17, 2017 to Mar 19, 2018
      • BD registered reps · 3 to 4
        Nov 17, 2017 to Mar 19, 2018
      • Employees · 9 to 13
        Nov 17, 2017 to Mar 19, 2018
      • State-registered IARs · 2 to 0
        Nov 17, 2017 to Mar 19, 2018
      • Discretionary RAUM · $692M to $259M
        Nov 17, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · $21.5M to $21.5M
        Nov 17, 2017 to Mar 19, 2018
      • RAUM · $692M to $259M
        Nov 17, 2017 to Mar 19, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • Pooled vehicle clients · unset to 1.0
        Sep 29, 2017 to Nov 17, 2017
      • HQ city · GOLDEN to DENVER
        Sep 29, 2017 to Nov 17, 2017
      • Other offices · unset to 0.0
        Sep 29, 2017 to Nov 17, 2017
      • Pooled vehicle RAUM · unset to 21485104.0
        Sep 29, 2017 to Nov 17, 2017
      • Advisory employees · 4 to 3
        Apr 11, 2017 to Jul 14, 2017
      Signals
      9 dated events
      • John Bradley Swenson (Executive Vp) no longer on Schedule A of R•• R•••• C•••••• L•• (listed 2019-11-25, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Andrew Laton Spahr (President, Managing Member) appeared on Schedule A of R•• R•••• C•••••• L••
        Nov 4, 2019 · Control person joined · fact
      • J Michael Sleightholme (President, Managing Member) no longer on Schedule A of R•• R•••• C•••••• L•• (listed 2019-09-10, absent 2019-11-04)
        Nov 4, 2019 · Control person left · inference
      • Douglas Erin Nelson (Chief Compliance Officer) no longer on Schedule A of R•• R•••• C•••••• L•• (listed 2019-06-24, absent 2019-09-10)
        Sep 10, 2019 · Control person left · inference
      • D Jeremy Held (Svp, Director Of Investment Strategy And Research) no longer on Schedule A of R•• R•••• C•••••• L•• (listed 2019-06-24, absent 2019-09-10)
        Sep 10, 2019 · Control person left · inference
      • J Michael Sleightholme (President, Managing Member) appeared on Schedule A of R•• R•••• C•••••• L••
        Jun 24, 2019 · Control person joined · fact
      • John Bradley Swenson (Executive Vp) appeared on Schedule A of R•• R•••• C•••••• L••
        Jun 24, 2019 · Control person joined · fact
      • Joseph Edmund Burke (Managing Member) no longer on Schedule A of R•• R•••• C•••••• L•• (listed 2019-03-26, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • R•• R•••• C•••••• L•• reported RAUM $258.8M, down 63% from $691.6M (2017-11-17 to 2018-03-19)
        Mar 19, 2018 · RAUM change · derived
      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