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

Etspreads, LLC

Former SEC-registered adviserDenver, ColoradoCRD 148363SEC 801-69640IAPD
Latest filing May 29, 2020
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
n/a
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 29, 2018
Mar 30, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 29, 2020
Mar 30, 20120 then
Employees (5.A)3 as of May 29, 2020
Mar 28, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 29, 2020; 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
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 investment companies, 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
n/areported
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
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
      • Taylor Matthew Clark · Non-Managing Membercontrol
        since 08/2008 · owns 10% to 25%
      • Patrick William Mock · Partner, Ciocontrol
        since 03/2011 · owns 10% to 25%
      • Thomas Gregory Pusch · General Counsel And Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • Craig Stephen Rogers · Senior Partner, Ceocontrol
        since 03/2011 · owns less than 5%
      • Brooks Curtis Cutter · Trusteecontrol
        since 10/1999 · owns 25% to 50% of Richard F Shelton Irrevocable Trust
      • Shelton Celia Rogers · Trusteecontrol
        since 10/1999 · owns 25% to 50% of Richard F Shelton Irrevocable Trust
      • Craig Stephen Rogers · Trusteecontrol
        since 10/1999 · owns 25% to 50% of Richard F Shelton Irrevocable Trust
      Entity owners
      • Ccm Partners · Managing Member
        direct · owns 25% to 50%
      • Rfs Partners · General Partner
        indirect · owns 25% to 50% of Ccm Partners, LP
      • Richard F Shelton Inc · General Partner
        indirect · owns 75% or more of Rfs Partners, LP
      • Richard F Shelton Irrevocable Trust · Controlling Entity
        indirect · owns 25% to 50% of Richard F Shelton Inc
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Mar 29, 2018 to Aug 1, 2019
      • Discretionary RAUM · 0.0 to unset
        Mar 29, 2018 to Aug 1, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Mar 29, 2018 to Aug 1, 2019
      • RAUM · 0.0 to unset
        Mar 29, 2018 to Aug 1, 2019
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · unset to 0.0
        May 2, 2016 to Mar 29, 2017
      • Discretionary RAUM · unset to 0.0
        May 2, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · unset to 0.0
        May 2, 2016 to Mar 29, 2017
      • RAUM · unset to 0.0
        May 2, 2016 to Mar 29, 2017
      • Insurance-licensed employees · 1 to 2
        Mar 31, 2015 to Mar 28, 2016
      • HQ city · SAN FRANCISCO to DENVER
        Mar 31, 2015 to Mar 28, 2016
      • HQ state · CA to CO
        Mar 31, 2015 to Mar 28, 2016
      • State-registered IARs · 1 to 2
        Mar 31, 2015 to Mar 28, 2016
      • Advisory activities · 1 to 2
        Mar 28, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 0 to 1
        Mar 28, 2014 to Mar 31, 2015
      • State-registered IARs · 0 to 1
        Mar 28, 2014 to Mar 31, 2015
      • BD registered reps · 1 to 2
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 2 to 3
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 0.0 to unset
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · 0 to 1
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · 0.0 to unset
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · 0.0 to unset
        Mar 30, 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