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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SEC-registered adviser
C•••••• P•••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 25, 2012 · 36 filings
SEC status approved since Apr 2, 2008
RAUM
$536M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.5%
$18.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$536M as of Mar 27, 2026
Jan 25, 2012$101M then
HNW client RAUM$9.1M as of Mar 27, 2026
Mar 12, 2018$42.3M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 26, 20131 then
Employees (5.A)10 as of Mar 27, 2026
Mar 26, 20134 then
Private funds5 as of Mar 27, 2026
Jan 25, 20122 then
RAUM +140% over the last fiscal year+15% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $394,766derivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +140%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$505M94%
- Other investment advisers$10.8M2.0%
- Individuals$9.8M1.8%
- High-net-worth individuals$9.1M1.7%
- Charitable organizations$1.1M0.2%
- Individual clients
- 78reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 119reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.96 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• C••••• S•••• | Denver, Co | Nov 9, 2015 | 32 y | 0 |
| K•••• C•••• S•••• | Denver, Co | May 1, 2021 | 33 y | 3 |
| M•••• I••••••• | Denver, Co | Jan 29, 2024 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••• C•••• S•••• from S•••• P•••••••• M••••••••• L••May 1, 2021 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• P••••••• M••••• M••••• F••• L•• | Hedge Fund | $128M | 154 | Sep 10, 2020 |
| C•••••• G••••• M•••• M••••• F••• L•• | Hedge Fund | $96.8M | 141 | Oct 30, 2019 |
| C•••••• G••••• M•••• F••• L•no longer reported | Hedge Fund | $59.8M | 73 | Jan 25, 2012 |
| C•••••• L••••••••• F••• L•no longer reported | Hedge Fund | $16.7M | 39 | Jan 25, 2012 |
| C•••••• L••••••••• M••••• F••• L•• | Hedge Fund | $15.3M | 79 | Mar 31, 2022 |
| C•••••• I••••••••• M•••• M••••• F••• L•• | Hedge Fund | $5.5M | 4 | Mar 27, 2024 |
| C•••••• I••••••••• C•••••••• M••••• F••• L•• | Hedge Fund | $3.5M | 11 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D•••••••• V•• A••••• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- S••••• K••••• C•••• · Managing Member And Ciocontrolsince 02/2008 · owns less than 5%
- S••••• L••••• C••••• · Coocontrolsince 08/2012 · owns less than 5%
- S••••• K••••• C•••• · Managing Member And Chief Investment Officercontrolsince 02/2008 · owns 75% or more of C•••••• C•••••• L••
Entity owners
- C•••••• C•••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• H•••• P••••••• L••pooled vehicle sponsorn
- C•••••• I••••••••• C•••••••• P••••••• L••pooled vehicle sponsorn
- C•••••• I••••••••• M•••• P••••••• L••pooled vehicle sponsorn
- C•••••• P••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $223,772,565 to $536,060,213, advisors 4 to 3, private clients 127 to 101, offices 0 to 0 (2025-03-24 to 2026-03-27)peers: asset managers, $500M to $1B (784)
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $223,772,565 to $536,060,213 (+140.0%) between the annual amendments of 2025-03-24 and 2026-03-27; the peer median change was +8.0% (672 comparable advisers, 97.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 147 to 119Mar 24, 2025 to Mar 27, 2026
- Advisory employees · 7 to 6Mar 24, 2025 to Mar 27, 2026
- Charity clients · unset to 1.0Mar 24, 2025 to Mar 27, 2026
- HNW clients · 32 to 23Mar 24, 2025 to Mar 27, 2026
- Individual clients · 95 to 78Mar 24, 2025 to Mar 27, 2026
- Employees · 11 to 10Mar 24, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 3Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $224M to $536MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $6.5M to $9.1MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $6.8M to $9.8MMar 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $203M to $505MMar 24, 2025 to Mar 27, 2026
- RAUM · $224M to $536MMar 24, 2025 to Mar 27, 2026
- Accounts · 156 to 147Nov 27, 2024 to Mar 24, 2025
- Advisory employees · 6 to 7Nov 27, 2024 to Mar 24, 2025
- HNW clients · 27 to 32Nov 27, 2024 to Mar 24, 2025
- Individual clients · 113 to 95Nov 27, 2024 to Mar 24, 2025
- Pooled vehicle clients · 14 to 16Nov 27, 2024 to Mar 24, 2025
- Employees · 14 to 11Nov 27, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Nov 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $274M to $224MNov 27, 2024 to Mar 24, 2025
- HNW RAUM · $7.8M to $6.5MNov 27, 2024 to Mar 24, 2025
- Individual RAUM · $10.3M to $6.8MNov 27, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $249M to $203MNov 27, 2024 to Mar 24, 2025
- RAUM · $274M to $224MNov 27, 2024 to Mar 24, 2025
- Accounts · 187 to 156Jan 22, 2024 to Mar 27, 2024
- Advisory employees · 5 to 6Jan 22, 2024 to Mar 27, 2024
- HNW clients · 32 to 27Jan 22, 2024 to Mar 27, 2024
- Individual clients · 144 to 113Jan 22, 2024 to Mar 27, 2024
- Pooled vehicle clients · 10 to 14Jan 22, 2024 to Mar 27, 2024
- Employees · 10 to 14Jan 22, 2024 to Mar 27, 2024
- State-registered IARs · 3 to 4Jan 22, 2024 to Mar 27, 2024
- Private funds · 3 to 5Jan 22, 2024 to Mar 27, 2024
- Discretionary RAUM · $355M to $274MJan 22, 2024 to Mar 27, 2024
- HNW RAUM · $9.4M to $7.8MJan 22, 2024 to Mar 27, 2024
- Individual RAUM · $12.2M to $10.3MJan 22, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $327M to $249MJan 22, 2024 to Mar 27, 2024
- RAUM · $355M to $274MJan 22, 2024 to Mar 27, 2024
- Accounts · 195 to 187Jan 6, 2023 to Mar 29, 2023
- HNW clients · 51 to 32Jan 6, 2023 to Mar 29, 2023
- Individual clients · 139 to 144Jan 6, 2023 to Mar 29, 2023
Signals
6 dated events
- C•••••• P•••••••• M••••••••• L•• reported RAUM $536.1M, up 140% from $223.8M (2025-03-24 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Van Anrooy Danielle Money (Chief Compliance Officer) appeared on Schedule A of C•••••• P•••••••• M••••••••• L••Nov 27, 2024 · Control person joined · fact
- Reid Sarah D'Amico (Chief Compliance Officer) no longer on Schedule A of C•••••• P•••••••• M••••••••• L•• (listed 2024-11-27, absent 2024-11-27)Nov 27, 2024 · Control person left · inference
- Nicholas Donovan (General Counsel And Cco) no longer on Schedule A of C•••••• P•••••••• M••••••••• L•• (listed 2022-11-01, absent 2022-11-11)Nov 11, 2022 · Control person left · inference
- C•••••• P•••••••• M••••••••• L•• reported RAUM $393.1M, up 87% from $209.9M (2021-09-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Nicholas Donovan (General Counsel And Cco) appeared on Schedule A of C•••••• P•••••••• M••••••••• L••Mar 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/1710968reportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-271-9997reportedpublic record, Form ADV, Mar 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026