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

V•• G••••• R••••••••• S••••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 136930SEC 801-71978IAPD
Latest filing Apr 7, 2014
First filing on the tape Mar 9, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$366M as of Mar 14, 2013
Mar 9, 2012$357M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2014
Mar 9, 20120 then
Employees (5.A)8 as of Mar 31, 2014
Mar 14, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Apr 7, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • W•••••• L•••• A•• · Chief Compliance Officercontrol
    since 02/2014 · owns less than 5%
  • S•••••••• G•••••• W•••••• · Shareholdercontrol
    since 01/1984 · owns 50% to 75% of O••• C•••••••••
Entity owners
  • U•• C•••••••• L•• · Managing Member
    direct · owns 75% or more
  • C•••••• A••••••••• H••••••• C••••••••• · Shareholder Of U••• I•••
    indirect · owns 75% or more of U••• I•••
  • C•••••• I•••••••• I••• · 100% Shareholder Of C•••••• A••••••••• Holdings Inc.
    indirect · owns 75% or more of C•••••• A••••••••• Holdings Inc.
  • O••• A••••••• H••••••• I• L•• · Shareholder
    indirect · owns 25% to 50% of O••• U•• H••••••• C••••
  • O••• C••••••••• · Member
    indirect · owns 75% or more of O••• A••••••• H••••••• I• L••
  • O••• C••••••••• · Shareholder
    indirect · owns 75% or more of O••• P••••••• G• I•••
  • O••• P••••••• G• I••• · General Partner
    indirect · owns F of O••• P••••••• I•• G• L•
  • O••• P••••••• I•• G• L• · General Partner
    indirect · owns F of O••• Partner III LP
  • O••• P••••••• I•• L• · Shareholder
    indirect · owns 50% to 75% of O••• U•• H••••••• C••••
  • O••• U•• H••••••• C•••• · Shareholder
    indirect · owns 75% or more of C•••••• I•••••••• I•••
  • U•• I•••••••• S••••••• L•• · 100% Shareholder Of U•• C••••••• L••
    indirect · owns 75% or more of U•• C••••••• L••
  • U•• I•••••••• S••••••• L•• · 100% Shareholder Of U•• C••••••••• G••••• I•••
    indirect · owns 75% or more of U•• C••••••••• G••••• I•••
  • U••• I••• · 100% Shareholder Of U•• I•••••••• S••••••• L••
    indirect · owns 75% or more of U•• I•••••••• S••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Glastonbury, CT
  • New York, NY
What changed
consecutive filings, newest first
  • State-registered IARs · 2 to 1
    Jan 8, 2014 to Mar 31, 2014
  • Accounts · 41.0 to unset
    Jan 8, 2014 to Mar 31, 2014
  • Advisory employees · 3 to 4
    Jan 8, 2014 to Mar 31, 2014
  • BD registered reps · 2 to 4
    Jan 8, 2014 to Mar 31, 2014
  • Employees · 5 to 8
    Jan 8, 2014 to Mar 31, 2014
  • Insurance-licensed employees · 2 to 3
    Jan 8, 2014 to Mar 31, 2014
  • Discretionary RAUM · 0.0 to unset
    Jan 8, 2014 to Mar 31, 2014
  • Non-discretionary RAUM · 366365019.0 to unset
    Jan 8, 2014 to Mar 31, 2014
  • RAUM · 366365019.0 to unset
    Jan 8, 2014 to Mar 31, 2014
  • Related bank · true to false
    Jan 8, 2014 to Mar 31, 2014
  • Advisory employees · 1 to 3
    Aug 8, 2013 to Dec 23, 2013
  • BD registered reps · 0 to 2
    Aug 8, 2013 to Dec 23, 2013
  • Employees · 1 to 5
    Aug 8, 2013 to Dec 23, 2013
  • Insurance-licensed employees · 0 to 2
    Aug 8, 2013 to Dec 23, 2013
  • State-registered IARs · 1 to 2
    Aug 8, 2013 to Dec 23, 2013
  • Related adviser · false to true
    Aug 8, 2013 to Dec 23, 2013
  • Related bank · false to true
    Aug 8, 2013 to Dec 23, 2013
  • Related broker-dealer · false to true
    Aug 8, 2013 to Dec 23, 2013
  • Advisory employees · 3 to 1
    May 17, 2013 to Aug 8, 2013
  • Employees · 3 to 1
    May 17, 2013 to Aug 8, 2013
  • State-registered IARs · 3 to 1
    May 17, 2013 to Aug 8, 2013
  • Accounts · 45 to 41
    Mar 5, 2013 to Mar 14, 2013
  • Non-discretionary RAUM · $357M to $366M
    Mar 5, 2013 to Mar 14, 2013
  • RAUM · $357M to $366M
    Mar 5, 2013 to Mar 14, 2013
  • Advisory employees · unset to 3.0
    Oct 26, 2012 to Nov 8, 2012
  • Employees · unset to 3.0
    Oct 26, 2012 to Nov 8, 2012
  • State-registered IARs · 0 to 3
    Oct 26, 2012 to Nov 8, 2012
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