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

M•••••• C•••••• A•••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 137896SEC 801-66032IAPD
Latest filing Oct 2, 2014
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$166M
reported, Item 5.F
Discretionary
99%
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
35
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$166M gross assets
History
7 filings and snapshots on the tape
RAUM$160M as of Mar 28, 2014
Mar 28, 2012$391M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20120 then
Employees (5.A)35 as of Mar 28, 2014
Mar 27, 201342 then
Private funds7 as of Mar 28, 2014
Mar 28, 20126 then
RAUM -32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 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
$23.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
-35%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$166M, 7 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
  • 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)
  • 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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$166M for 7 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• S••••••••• V•••• F••• I•• L••Other Private Fund$960,0001Mar 28, 2012
      M••••••••• V•••• F••• I•• L••no longer reportedOther Private Fund$367,0001Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• G•••• R••••• · Chief Legal Officer (Since 04/2007) & Chief Compliance Officer (Since 04/27/12)control
        since 04/2007 · owns less than 5%
      • G•••••• B••••• E•••• · Managing Director & Chairman/Ceocontrol
        since 09/2002 · owns less than 5%
      • O•••••• B••••••• A••••• · Vice Chairmancontrol
        since 09/2002 · owns less than 5%
      • W•••••• R•••••• Y••• · Principal, Chief Operating And Financial Officercontrol
        since 04/2010 · owns less than 5%
      • W•••••• S•••• M••••• · Presidentcontrol
        since 02/2010 · owns less than 5%
      • G•••••• B••••• E•••• · General Partnercontrol
        since 01/1998 · owns F of E•••• I••••••••• P•••••••• L•••
      • G•••••• B••••• E•••• · Trusteecontrol
        since 01/1998 · owns F of E•••• I••••••••• T••••
      • O•••••• B••••••• A••••• · Trustee Of M••••••• E••••••••• I• T•••• And Member Of M••••••• E••••••••• I• L••control
        since 02/2003 · owns F of M••••••• E••••••••• I• T••••
      Entity owners
      • M•••••• C•••••• M••••••••• L•• · Member
        direct · owns 75% or more
      • B•••• P••••••••• L•• · Member
        indirect · owns 75% or more of M•••••• C•••••• M••••••••• L••
      • C•••••• V••••••• I• L•• · Member
        indirect · owns 25% to 50% of B•••• P••••••••• L••
      • E•••• I••••••••• P•••••••• L••• · Member
        indirect · owns 75% or more of T•• H•••••• G•••• I•• L••
      • E•••• I••••••••• T•••• · Limited Partner
        indirect · owns 75% or more of E•••• Investment Partners, L..P.
      • M••••••• E••••••••• I• L•• · Member
        indirect · owns 75% or more of C•••••• V••••••• I• L••
      • M••••••• E••••••••• I• T•••• · Member
        indirect · owns 75% or more of M••••••• E••••••••• I• L••
      • T•• H•••••• G•••• I•• L•• · Member
        indirect · owns 75% or more of B•••• P••••••••• L••
      Related persons
      Schedule D 7.A
      • M•••••• C•••••• A••••••• 1• L••
        investment advisery
      • M•••••• C•••••• A••••••• 3• L••
        investment advisery
      • M•••••• I••••••••• P••••••• 2•• L••
        pooled vehicle sponsorn
      • M•••••• I••••••••• P••••••• 2•• L••
        pooled vehicle sponsorn
      • M•••••• M••••••••• C•••••• 1• L••
        investment advisern
      • M••••••••• C•••••• A••••••• 1• L••
        investment advisery
      • M••••••••• I••••••••• P••••••• 1• L••
        pooled vehicle sponsorn
      • M••••••••• M••••••••• C•••••• 1• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $156M to $165M
        Apr 29, 2014 to Oct 2, 2014
      • Non-discretionary RAUM · $3.7M to $960,000
        Apr 29, 2014 to Oct 2, 2014
      • RAUM · $160M to $166M
        Apr 29, 2014 to Oct 2, 2014
      • Assets in custody · $165M to $166M
        Mar 28, 2014 to Apr 29, 2014
      • Accounts · 8 to 7
        Mar 27, 2013 to Mar 28, 2014
      • Advisory employees · 11 to 9
        Mar 27, 2013 to Mar 28, 2014
      • Assets in custody · $243M to $165M
        Mar 27, 2013 to Mar 28, 2014
      • Employees · 42 to 35
        Mar 27, 2013 to Mar 28, 2014
      • Private funds · 8 to 7
        Mar 27, 2013 to Mar 28, 2014
      • Discretionary RAUM · $241M to $156M
        Mar 27, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $3.7M to $3.7M
        Mar 27, 2013 to Mar 28, 2014
      • RAUM · $245M to $160M
        Mar 27, 2013 to Mar 28, 2014
      • Assets in custody · $255M to $243M
        Jan 30, 2013 to Mar 27, 2013
      • Employees · 47 to 42
        Jan 30, 2013 to Mar 27, 2013
      • Discretionary RAUM · $252M to $241M
        Jan 30, 2013 to Mar 27, 2013
      • Non-discretionary RAUM · $3.1M to $3.7M
        Jan 30, 2013 to Mar 27, 2013
      • RAUM · $255M to $245M
        Jan 30, 2013 to Mar 27, 2013
      • Accounts · 6 to 8
        Apr 27, 2012 to Jan 30, 2013
      • Advisory employees · unset to 11.0
        Apr 27, 2012 to Jan 30, 2013
      • Assets in custody · $372M to $255M
        Apr 27, 2012 to Jan 30, 2013
      • Employees · unset to 47.0
        Apr 27, 2012 to Jan 30, 2013
      • Private funds · 6 to 8
        Apr 27, 2012 to Jan 30, 2013
      • Discretionary RAUM · $369M to $252M
        Apr 27, 2012 to Jan 30, 2013
      • Non-discretionary RAUM · $22.3M to $3.1M
        Apr 27, 2012 to Jan 30, 2013
      • RAUM · $391M to $255M
        Apr 27, 2012 to Jan 30, 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