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

C•••• B••••••• I•••••••••

Former SEC-registered adviserAurora, ColoradoCRD 143777SEC 801-117731IAPD
Legal name C•••• B•••••••• I•••
Latest filing Mar 10, 2021
First filing on the tape Nov 4, 2019 · 4 filings
RAUM
$90.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$90.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$90.0M as of Mar 10, 2021
Nov 4, 2019$25.0M then
HNW client RAUM$0 as of Mar 10, 2021
Nov 4, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 10, 2021
Nov 4, 20190 then
Employees (5.A)0 as of Mar 10, 2021
Nov 4, 20190 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 2021; 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
$891,089derivedRAUM 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
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
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$90.0M100%
Individual clients
100reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
101reported
Financial planning clients
51-100reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• J••••• R•• · Cco, Ceocontrol
    since 11/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Parker, Co000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 76 to 101
    Dec 17, 2019 to Mar 10, 2021
  • Individual clients · 75 to 100
    Dec 17, 2019 to Mar 10, 2021
  • Discretionary RAUM · $15.0M to $90.0M
    Dec 17, 2019 to Mar 10, 2021
  • Individual RAUM · $15.0M to $90.0M
    Dec 17, 2019 to Mar 10, 2021
  • Non-discretionary RAUM · $10.0M to $0
    Dec 17, 2019 to Mar 10, 2021
  • RAUM · $25.0M to $90.0M
    Dec 17, 2019 to Mar 10, 2021
  • Legal name · J•••• R. C•••• to C•••• B•••••••• I•••
    Nov 8, 2019 to Dec 17, 2019
  • Other offices · 1 to 0
    Nov 8, 2019 to Dec 17, 2019
Signals
2 dated events
  • M•••••• P•••••• S•••• left C•••• B••••••• I••••••••• for T••••••••• R••••••••• A•••••••• L•• (registered 2024-06-04)
    Dec 31, 2023 · Advisor changed firm · fact
  • C•••• B••••••• I••••••••• filed its initial SEC registration (Form ADV)
    Nov 4, 2019 · First SEC registration · fact
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