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

A••••• I••••••••• A•••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 147277SEC 801-69196IAPD
Latest filing Aug 29, 2017
First filing on the tape Apr 9, 2012 · 20 filings
RAUM
$6.5M
reported, Item 5.F
Discretionary
100%
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
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$429M as of Mar 23, 2017
Apr 9, 2012$30.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2017
Apr 9, 20120 then
Employees (5.A)4 as of Mar 23, 2017
Mar 28, 20135 then
Private funds: no history
RAUM -98% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 29, 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
$6.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+7.3%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 pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• E•••••••• · Managing Member And Chief Compliance Officercontrol
        since 05/2017 · owns less than 5%
      • V••••••• J••••• S••••• · Managing Member And Presidentcontrol
        since 05/2016 · owns less than 5%
      • G•••••• K••••• R••••• · Managing Membercontrol
        since 02/2006 · owns 25% to 50% of J•••• A•••• M•••••••••
      • N•••••• D••••• J•••• · Membercontrol
        since 02/2006 · owns 25% to 50% of J•••• A•••• M•••••••••
      Entity owners
      • A••••• I••••••••• P•••••••• L•• · Managing Member
        direct · owns 75% or more
      • J•••• A•••• M••••••••• · Manager
        indirect · owns 50% to 75% of A••••• I••••••••• P•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Jun 28, 2017 to Aug 29, 2017
      • Discretionary RAUM · $429M to $6.5M
        Jun 28, 2017 to Aug 29, 2017
      • RAUM · $429M to $6.5M
        Jun 28, 2017 to Aug 29, 2017
      • Accounts · 4 to 3
        Jan 30, 2017 to Mar 23, 2017
      • Advisory employees · 3 to 1
        Jan 30, 2017 to Mar 23, 2017
      • BD registered reps · 2 to 3
        Jan 30, 2017 to Mar 23, 2017
      • Employees · 5 to 4
        Jan 30, 2017 to Mar 23, 2017
      • Discretionary RAUM · $400M to $429M
        Jan 30, 2017 to Mar 23, 2017
      • RAUM · $400M to $429M
        Jan 30, 2017 to Mar 23, 2017
      • Legal name · A••••• INVESTMENT ADVIORS, LLC to A••••• I••••••••• A•••••••• L••
        Jan 28, 2016 to Mar 28, 2016
      • Accounts · 2 to 4
        Jul 17, 2015 to Jan 28, 2016
      • Discretionary RAUM · $370M to $400M
        Jul 17, 2015 to Jan 28, 2016
      • RAUM · $370M to $400M
        Jul 17, 2015 to Jan 28, 2016
      • Related broker-dealer · true to false
        Jul 17, 2015 to Jan 28, 2016
      • Advisory employees · 2 to 3
        Mar 7, 2014 to May 5, 2015
      • BD registered reps · 3 to 2
        Mar 7, 2014 to May 5, 2015
      • Discretionary RAUM · $275M to $370M
        Mar 7, 2014 to May 5, 2015
      • RAUM · $275M to $370M
        Mar 7, 2014 to May 5, 2015
      • Discretionary RAUM · $120M to $275M
        Oct 18, 2013 to Mar 7, 2014
      • RAUM · $120M to $275M
        Oct 18, 2013 to Mar 7, 2014
      • Advisory employees · unset to 2.0
        Apr 9, 2012 to Mar 28, 2013
      • Advisory activities · 3 to 2
        Apr 9, 2012 to Mar 28, 2013
      • BD registered reps · unset to 3.0
        Apr 9, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Apr 9, 2012 to Mar 28, 2013
      • Discretionary RAUM · $30.0M to $120M
        Apr 9, 2012 to Mar 28, 2013
      • RAUM · $30.0M to $120M
        Apr 9, 2012 to Mar 28, 2013
      • Related adviser · false to true
        Apr 9, 2012 to Mar 28, 2013
      • Related broker-dealer · false to true
        Apr 9, 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