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.

Former SEC-registered adviser

Equinox Fund Management, LLC

Former SEC-registered adviserDenver, ColoradoCRD 143730SEC 801-67852IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 26, 2012 · 21 filings
RAUM
$0
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2017
Mar 26, 2012$878M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 26, 20120 then
Employees (5.A)7 as of Mar 31, 2017
Mar 28, 201325 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
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
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Joseph Robert Enck · President/Chief Executive Officercontrol
    since 03/2007 · owns 5% to 10%
  • Caroline Monoghan Pallat · General Partnercontrol
    since 08/2003 · owns F of Scan Partners, Ltd
  • Jean Stacey Gillespie · Chief Compliance Officer
    since 08/2016 · owns less than 5%
  • Kristina Magolis · Legal Counsel
    since 10/2016 · owns less than 5%
Entity owners
  • Plimpton Capital LLC · Member
    direct · owns 75% or more
  • Equinox Financial Group, LLC · Member
    indirect · owns 50% to 75% of Plimpton Capital, LLC
  • Scan Partners, Ltd · Member
    indirect · owns 75% or more of Equinox Financial Group, LLC
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 · 4 to 3
    Nov 18, 2016 to Mar 31, 2017
  • Employees · 12 to 7
    Nov 18, 2016 to Mar 31, 2017
  • Advisory employees · 3 to 4
    Feb 22, 2016 to Mar 30, 2016
  • Advisory activities · 3 to 2
    Feb 22, 2016 to Mar 30, 2016
  • Employees · 11 to 12
    Feb 22, 2016 to Mar 30, 2016
  • Financial planning clients · 0 to unset
    Feb 22, 2016 to Mar 30, 2016
  • Accounts · 1 to 0
    Nov 17, 2015 to Dec 10, 2015
  • Advisory activities · 2 to 3
    Nov 17, 2015 to Dec 10, 2015
  • Non-discretionary RAUM · $280M to $0
    Nov 17, 2015 to Dec 10, 2015
  • RAUM · $280M to $0
    Nov 17, 2015 to Dec 10, 2015
  • Accounts · 7 to 1
    Mar 31, 2015 to Sep 21, 2015
  • BD registered reps · 4 to 2
    Mar 31, 2015 to Sep 21, 2015
  • Employees · 14 to 11
    Mar 31, 2015 to Sep 21, 2015
  • Financial planning clients · unset to 0
    Mar 31, 2015 to Sep 21, 2015
  • Non-discretionary RAUM · $1.2B to $280M
    Mar 31, 2015 to Sep 21, 2015
  • RAUM · $1.2B to $280M
    Mar 31, 2015 to Sep 21, 2015
  • Accounts · 13 to 7
    Apr 1, 2014 to Mar 31, 2015
  • Employees · 16 to 14
    Apr 1, 2014 to Mar 31, 2015
  • Discretionary RAUM · $1.3B to $0
    Apr 1, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $0 to $1.2B
    Apr 1, 2014 to Mar 31, 2015
  • RAUM · $1.3B to $1.2B
    Apr 1, 2014 to Mar 31, 2015
  • Accounts · 11 to 13
    Jan 16, 2014 to Apr 1, 2014
  • Advisory employees · 5 to 3
    Jan 16, 2014 to Apr 1, 2014
  • Employees · 25 to 16
    Jan 16, 2014 to Apr 1, 2014
  • Discretionary RAUM · $824M to $1.3B
    Jan 16, 2014 to Apr 1, 2014
  • RAUM · $824M to $1.3B
    Jan 16, 2014 to Apr 1, 2014
  • Accounts · 2 to 11
    Jul 12, 2012 to Mar 28, 2013
  • Advisory employees · unset to 5.0
    Jul 12, 2012 to Mar 28, 2013
  • BD registered reps · 0 to 4
    Jul 12, 2012 to Mar 28, 2013
  • Employees · unset to 25.0
    Jul 12, 2012 to Mar 28, 2013
  • Discretionary RAUM · $878M to $824M
    Jul 12, 2012 to Mar 28, 2013
  • RAUM · $878M to $824M
    Jul 12, 2012 to Mar 28, 2013
  • Related bank · false to true
    Jul 12, 2012 to Mar 28, 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