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Former SEC-registered adviser

E•••• P•••••• W••••• M••••••••• L••

Former SEC-registered adviserCarbondale, ColoradoCRD 144367SEC 801-80902IAPD
Latest filing Mar 17, 2022
First filing on the tape Nov 7, 2011 · 16 filings
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$179M as of Mar 17, 2022
May 2, 2012$79.5M then
HNW client RAUM$179M as of Mar 17, 2022
Mar 13, 2018$178M then
State-registered IARs (5.B.3)4 as of Mar 17, 2022
May 2, 20120 then
Employees (5.A)5 as of Mar 17, 2022
Mar 14, 20164 then
Private funds: no history
RAUM -2.4% over the last fiscal year+2.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 2022; every figure names its basis
RAUM per advisor
$44.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$179M100%
Individual clients
n/areported
HNW clients
45reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
45reported
Financial planning clients
0reported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••• R•••••• V•••••• · Member And Ceocontrol
      since 06/2007 · owns 75% or more
    • O•••••• M••••••• A••••• · Cco
      since 03/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 43 to 45
      Jul 1, 2021 to Mar 17, 2022
    • Advisory employees · 3 to 4
      Jul 1, 2021 to Mar 17, 2022
    • HNW clients · 43 to 45
      Jul 1, 2021 to Mar 17, 2022
    • Employees · 4 to 5
      Jul 1, 2021 to Mar 17, 2022
    • Discretionary RAUM · $184M to $179M
      Jul 1, 2021 to Mar 17, 2022
    • HNW RAUM · $184M to $179M
      Jul 1, 2021 to Mar 17, 2022
    • RAUM · $184M to $179M
      Jul 1, 2021 to Mar 17, 2022
    • Accounts · 41 to 43
      May 11, 2020 to Mar 15, 2021
    • HNW clients · 41 to 43
      May 11, 2020 to Mar 15, 2021
    • State-registered IARs · 3 to 4
      May 11, 2020 to Mar 15, 2021
    • Discretionary RAUM · $184M to $184M
      May 11, 2020 to Mar 15, 2021
    • HNW RAUM · $184M to $184M
      May 11, 2020 to Mar 15, 2021
    • RAUM · $184M to $184M
      May 11, 2020 to Mar 15, 2021
    • Accounts · 37 to 41
      Mar 19, 2019 to Mar 19, 2020
    • HNW clients · 36 to 41
      Mar 19, 2019 to Mar 19, 2020
    • Other offices · 1 to 0
      Mar 19, 2019 to Mar 19, 2020
    • Discretionary RAUM · $167M to $184M
      Mar 19, 2019 to Mar 19, 2020
    • HNW RAUM · $167M to $184M
      Mar 19, 2019 to Mar 19, 2020
    • RAUM · $167M to $184M
      Mar 19, 2019 to Mar 19, 2020
    • Accounts · 34 to 37
      Mar 13, 2018 to Mar 19, 2019
    • HNW clients · 34 to 36
      Mar 13, 2018 to Mar 19, 2019
    • Discretionary RAUM · $178M to $167M
      Mar 13, 2018 to Mar 19, 2019
    • HNW RAUM · $178M to $167M
      Mar 13, 2018 to Mar 19, 2019
    • RAUM · $178M to $167M
      Mar 13, 2018 to Mar 19, 2019
    • Accounts · 28 to 34
      Mar 20, 2017 to Mar 13, 2018
    • HNW clients · unset to 34.0
      Mar 20, 2017 to Mar 13, 2018
    • Other offices · unset to 1.0
      Mar 20, 2017 to Mar 13, 2018
    • Discretionary RAUM · $139M to $178M
      Mar 20, 2017 to Mar 13, 2018
    • HNW RAUM · unset to 178449328.0
      Mar 20, 2017 to Mar 13, 2018
    • RAUM · $139M to $178M
      Mar 20, 2017 to Mar 13, 2018
    • Accounts · 26 to 28
      Apr 19, 2016 to Mar 20, 2017
    • Advisory activities · 2 to 1
      Apr 19, 2016 to Mar 20, 2017
    • Discretionary RAUM · $125M to $139M
      Apr 19, 2016 to Mar 20, 2017
    • RAUM · $125M to $139M
      Apr 19, 2016 to Mar 20, 2017
    • Accounts · 20 to 26
      Mar 10, 2015 to Mar 14, 2016
    • Employees · 3 to 4
      Mar 10, 2015 to Mar 14, 2016
    • Discretionary RAUM · $108M to $125M
      Mar 10, 2015 to Mar 14, 2016
    • RAUM · $108M to $125M
      Mar 10, 2015 to Mar 14, 2016
    • Accounts · 10 to 20
      May 2, 2012 to Jan 20, 2015
    • Advisory employees · unset to 3.0
      May 2, 2012 to Jan 20, 2015
    Signals
    3 dated events
    • M•••••• A••••• O••••• left E•••• P•••••• W••••• M••••••••• L•• for Y••• C•••• W••••• M••••••••• L•• (registered 2022-09-16)
      Oct 21, 2022 · Advisor changed firm · fact
    • N•••••••• L•• K••• left E•••• P•••••• W••••• M••••••••• L•• for Y••• C•••• W••••• M••••••••• L•• (registered 2022-09-16)
      Aug 18, 2022 · Advisor changed firm · fact
    • E•••• P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 20, 2015 · 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