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

W••••••••• M••••••••• I••••••••• L•

Former SEC-registered adviserBoulder, ColoradoCRD 137554SEC 801-65459IAPD
Latest filing Apr 30, 2017
First filing on the tape Apr 20, 2012 · 17 filings
RAUM
$801,000
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$801,000 gross assets
History
17 filings and snapshots on the tape
RAUM$801,000 as of Mar 31, 2017
Apr 20, 2012$8.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Apr 20, 20120 then
Employees (5.A)4 as of Mar 31, 2017
Apr 1, 20135 then
Private funds1 as of Mar 31, 2017
Apr 20, 20123 then
RAUM -86% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2017; 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
$400,500derivedRAUM 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
-86%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 pooled vehiclesreportedItem 5.G
Custody
$801,000, 2 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
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$801,000 for 2 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••••• D••••••• G••••• F••• L•no longer reportedHedge Fund$7.4M12Apr 20, 2012
      W••••••••• D••••••• G••••• L••no longer reportedHedge Fund$881,8034Apr 20, 2012
      W••••••••• D••••••• G••••• M••••• F••• L••Hedge Fund$801,0008Apr 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• T•••••••• M•••••• · Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • H••••••• J•••• G• · Chief Operating Officercontrol
        since 01/2011 · owns less than 5%
      • H•••••• J••••••• D• · Limited Partnercontrol
        since 08/2005 · owns less than 5%
      • H•••••• J••••••• D• · Membercontrol
        since 08/2005 · owns 75% or more of W••••••••• M••••••••• I••••••••• G• L••
      Entity owners
      • W••••••••• M••••••••• I••••••••• G• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $5.7M to $801,000
        May 3, 2016 to Mar 31, 2017
      • Discretionary RAUM · $5.7M to $801,000
        May 3, 2016 to Mar 31, 2017
      • RAUM · $5.7M to $801,000
        May 3, 2016 to Mar 31, 2017
      • Assets in custody · $5.6M to $5.7M
        Mar 8, 2016 to Mar 30, 2016
      • Employees · 5 to 4
        Mar 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $5.6M to $5.7M
        Mar 8, 2016 to Mar 30, 2016
      • RAUM · $5.6M to $5.7M
        Mar 8, 2016 to Mar 30, 2016
      • Assets in custody · $8.0M to $5.6M
        Apr 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $8.0M to $5.6M
        Apr 28, 2014 to Mar 31, 2015
      • RAUM · $8.0M to $5.6M
        Apr 28, 2014 to Mar 31, 2015
      • Assets in custody · $9.0M to $8.0M
        Apr 29, 2013 to Mar 27, 2014
      • Discretionary RAUM · $9.0M to $8.0M
        Apr 29, 2013 to Mar 27, 2014
      • RAUM · $9.0M to $8.0M
        Apr 29, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Sep 5, 2012 to Apr 1, 2013
      • Advisory activities · 3 to 1
        Sep 5, 2012 to Apr 1, 2013
      • Assets in custody · unset to 8955000.0
        Sep 5, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Sep 5, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Sep 5, 2012 to Apr 1, 2013
      • Organization form · Partnership to Limited Partnership
        Sep 5, 2012 to Apr 1, 2013
      • Private funds · 3 to 1
        Sep 5, 2012 to Apr 1, 2013
      • Discretionary RAUM · $8.2M to $9.0M
        Sep 5, 2012 to Apr 1, 2013
      • RAUM · $8.2M to $9.0M
        Sep 5, 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