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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SEC-registered adviser

A•••••••• C••••••• H•••••••• L••

Other adviserDenver, ColoradoCRD 149120SEC 801-69868websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jan 13, 2009
RAUM
$21B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.6%
$547M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
95
41 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
38
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$21B as of Mar 31, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$508M as of Mar 31, 2026
Mar 30, 2018$837M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)95 as of Mar 31, 2026
Mar 28, 201318 then
Private funds38 as of Mar 31, 2026
Mar 30, 20124 then
RAUM +0.8% over the last fiscal year-0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
$14.1MderivedHNW RAUM over HNW clients
Average account
$152MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+0.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$584M, 70 clientsreportedItem 9.A
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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$8.1B61%
  • Investment companies$3.7B27%
  • High-net-worth individuals$508M3.8%
  • Pension and profit-sharing plans$315M2.4%
  • Charitable organizations$232M1.7%
  • Corporations and businesses$191M1.4%
  • State and municipal entities$175M1.3%
  • Sovereign wealth funds$73.4M0.6%
  • Individuals$38.7M0.3%
Individual clients
24reported
HNW clients
36reported
Pension plan clients
4reported
Charitable clients
4reported
Accounts
138reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$584M for 70 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.03 fund_share=0.56 institutional_share=0.04 related_bd=false related_bank=true bd_reps=10.0derived
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
      Private funds
      47 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••••••••• F••• I• L•Hedge Fund$1.2B4Mar 30, 2019
      A•••••••• F••••••••• O••••••••• F•••• L•Hedge Fund$1.0B68Mar 30, 2012
      A•••••••• G••••• O••••••••• M••••• F••• I••• L••Hedge Fund$619M297Mar 30, 2020
      A•••••••• I••••• O••••••••• F••• Q•• L•Hedge Fund$595M300Mar 28, 2013
      A•••••••• G••••• O••••••••• M••••• F••• I•• L••Hedge Fund$554M320Feb 24, 2022
      A•• E•••••••• C•• 2•••••••••no longer reportedSecuritized Asset Fund$500M0Mar 30, 2019
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$472M0Mar 31, 2022
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$466M0Mar 31, 2021
      A•• E••••••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$450M0Mar 30, 2019
      A•• E•••••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$450M0Mar 30, 2019
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$433M0Nov 23, 2022
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$385M0Mar 31, 2022
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$382M0Mar 31, 2022
      E•••••••• C•• 2••••••• L••Securitized Asset Fund$379M0Mar 31, 2022
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$366M0Mar 30, 2019
      A•••••••• F••••••••• S••• L•••Hedge Fund$364M1Mar 31, 2016
      A•• E•••••••• C•• 2•••••••••no longer reportedSecuritized Asset Fund$360M0Mar 30, 2019
      E•••••••• C•• 2••••••• L•••Securitized Asset Fund$343M0Mar 27, 2024
      M••••••••• F••• I• L•Hedge Fund$339M2Nov 23, 2022
      A•••••••• G••••• O••••••••• M••••• F••• I•• L••Hedge Fund$337M274Mar 30, 2017
      E•••••••• C•• 2•••••• L•••Securitized Asset Fund$320M0Mar 30, 2019
      A•••• S••••• C•• 2• L••no longer reportedSecuritized Asset Fund$320M0Mar 31, 2021
      E•••••••• C•• 2•••••• L•••Securitized Asset Fund$319M0Mar 31, 2016
      P••••• • A•••••••• C••••• F•••• L•Hedge Fund$291M3Feb 24, 2022
      A•••••••• I••••• S••• L•••Hedge Fund$226M2Mar 31, 2016
      B••••••••• C••••• F•••• L•Hedge Fund$208M2Feb 24, 2022
      P••••••••• F••• I• L•Hedge Fund$171M2Mar 30, 2019
      P•••• C•• 3• L•••Securitized Asset Fund$149M0Mar 30, 2019
      A•••••••• F••• I•••• L•Hedge Fund$141M3Feb 24, 2022
      P•••• C•• 2• L•••Securitized Asset Fund$118M0Mar 30, 2019
      A•••••••• I••••• O••••••••• F•••• L•Hedge Fund$113M70Mar 30, 2012
      O••• A•••••••• F••• I• L•Hedge Fund$105M3Mar 30, 2020
      A•••••••• L••• S•••••• F••• I•• L•Hedge Fund$98.0M124Mar 31, 2022
      A•••••••• A••••••••• V•••••• S••Hedge Fund$81.9M119Mar 30, 2012
      P•••• C••• L•••Securitized Asset Fund$76.4M0Mar 30, 2015
      A•••••••• C•• S••••••••• F•••••• F••• L•Hedge Fund$67.1M66Mar 31, 2023
      A•••••••• C•• E••••• S•••••••• P••••••• F•••• L•Hedge Fund$59.9M42Mar 31, 2022
      A•••••••• G••••• O••••••••• F••• V• L•Hedge Fund$51.0M0Mar 27, 2024
      A••••••••• L••• S•••••• F•••• L•no longer reportedHedge Fund$43.4M24Mar 28, 2013
      A•••••••• S•••••••• F••••••• L••Hedge Fund$27.8M10Mar 31, 2016
      All funds of A•••••••• C••••••• H•••••••• L••
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• K•••••• R••• · Membercontrol
        since 01/2014 · owns less than 5%
      • B••••••• S•••••• S•••••• · Membercontrol
        since 01/2015 · owns less than 5%
      • C••••••• D••••• J••• · Managing Membercontrol
        since 12/2007 · owns 10% to 25%
      • G••••• R••••••• A•••• · Ccocontrol
        since 12/2008 · owns less than 5%
      • M••••• C•••••••• E••• · Membercontrol
        since 01/2017 · owns less than 5%
      • R•••• D•••••• K••• · Coocontrol
        since 06/2019 · owns less than 5%
      • R••••• K••••• L••• · Membercontrol
        since 12/2007 · owns 5% to 10%
      • R•••• J•••••• B•••• · Clocontrol
        since 03/2021 · owns less than 5%
      • S•••••• B••••• A••••• · Membercontrol
        since 01/2017 · owns less than 5%
      • R••••• K••••• L••• · Managercontrol
        since 01/2022 · owns F of C• S••••••••• L••
      Entity owners
      • C• S••••••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • 3•• F••••••• L••
        investment adviseryRAUM $104M
      • A•• L••• S•••••• G• I•• L••
        bankpooled vehicle sponsorn
      • A•• L••• S•••••• G•• L••
        bankpooled vehicle sponsorn
      • A•••••••• A•••• M••••••••• L••
        investment adviseryRAUM $224M
      • A•••••••• C•• E••••• S•••••••• P••••••• F••• G•• L••
        bankpooled vehicle sponsorn
      • A•••••••• C••••••••• R••• E••••• P•••••••
        investment companyy
      • A•••••••• C•• S••••••••• F•••••• F••• G•• L••
        pooled vehicle sponsorn
      • A•••••••• F••• I••• G•• L••
        bankpooled vehicle sponsorn
      • A•••••••• G••••• F••• G• I•• L••
        bankpooled vehicle sponsorn
      • A•••••••• G••••• F••• G• I••• L••
        bankpooled vehicle sponsory
      • A•••••••• G••••• F••• G• I•• L••
        bankpooled vehicle sponsorn
      • A•••••••• G••••• F••• G• V• L••
        pooled vehicle sponsorn
      • A•••••••• G••••• F••• G•• L••
        pooled vehicle sponsorn
      • A•••••••• I•••••••••
        investment advisery
      • A•••••••• P••••••• G• S•••• L••
        bankpooled vehicle sponsory
      • A•••••••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      • A•••••••• P••••••• G••• L••
        bankpooled vehicle sponsorn
      • A•••••••• P••••••• G••• L••
        bankpooled vehicle sponsorn
      • A•••••••• S•••••••• F•••••• M• L••
        pooled vehicle sponsorn
      • B••••••••• C••••• F••• G•• L••
        bankpooled vehicle sponsorn
      • K••••••••• F••• I• G•
        pooled vehicle sponsorn
      • O••••••••• F••• I• G•
        pooled vehicle sponsorn
      • P••••••••• F••• I• G•
        pooled vehicle sponsorn
      • P••••• • A•••••••• C••••• F••• G•• L••
        bankpooled vehicle sponsorn
      Advisers that list A•••••••• C••••••• H•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom2 employees
      • New York, NY2 employees
      • Larkspur, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 183 to 138
        Mar 31, 2025 to Mar 31, 2026
      • Advisory employees · 47 to 41
        Mar 31, 2025 to Mar 31, 2026
      • BD registered reps · 11 to 10
        Mar 31, 2025 to Mar 31, 2026
      • Charity clients · 5 to 4
        Mar 31, 2025 to Mar 31, 2026
      • Corporate clients · 6 to 8
        Mar 31, 2025 to Mar 31, 2026
      • HNW clients · 40 to 36
        Mar 31, 2025 to Mar 31, 2026
      • Individual clients · 29 to 24
        Mar 31, 2025 to Mar 31, 2026
      • Pension plan clients · 13 to 4
        Mar 31, 2025 to Mar 31, 2026
      • Pooled vehicle clients · 56 to 37
        Mar 31, 2025 to Mar 31, 2026
      • Assets in custody · $785M to $584M
        Mar 31, 2025 to Mar 31, 2026
      • Employees · 103 to 95
        Mar 31, 2025 to Mar 31, 2026
      • Private funds · 37 to 38
        Mar 31, 2025 to Mar 31, 2026
      • Discretionary RAUM · $21B to $21B
        Mar 31, 2025 to Mar 31, 2026
      • HNW RAUM · $609M to $508M
        Mar 31, 2025 to Mar 31, 2026
      • Individual RAUM · $43.3M to $38.7M
        Mar 31, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $52.8M to $47.0M
        Mar 31, 2025 to Mar 31, 2026
      • Pension RAUM · $810M to $315M
        Mar 31, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $8.3B to $8.1B
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $21B to $21B
        Mar 31, 2025 to Mar 31, 2026
      • Accounts · 149 to 183
        Mar 27, 2024 to Mar 31, 2025
      • BD registered reps · 9 to 11
        Mar 27, 2024 to Mar 31, 2025
      • Charity clients · unset to 5.0
        Mar 27, 2024 to Mar 31, 2025
      • Corporate clients · 5 to 6
        Mar 27, 2024 to Mar 31, 2025
      • HNW clients · 35 to 40
        Mar 27, 2024 to Mar 31, 2025
      • Individual clients · 28 to 29
        Mar 27, 2024 to Mar 31, 2025
      • Pooled vehicle clients · 32 to 56
        Mar 27, 2024 to Mar 31, 2025
      • Assets in custody · $650M to $785M
        Mar 27, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 31, 2025
      • Other offices · 3 to 2
        Mar 27, 2024 to Mar 31, 2025
      • Private funds · 36 to 37
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $21B to $21B
        Mar 27, 2024 to Mar 31, 2025
      • HNW RAUM · $582M to $609M
        Mar 27, 2024 to Mar 31, 2025
      • Individual RAUM · $48.9M to $43.3M
        Mar 27, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $107M to $52.8M
        Mar 27, 2024 to Mar 31, 2025
      • Pension RAUM · $944M to $810M
        Mar 27, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $6.8B to $8.3B
        Mar 27, 2024 to Mar 31, 2025
      • RAUM · $22B to $21B
        Mar 27, 2024 to Mar 31, 2025
      • Accounts · 155 to 149
        Mar 31, 2023 to Mar 27, 2024
      • Advisory employees · 62 to 47
        Mar 31, 2023 to Mar 27, 2024
      • BD registered reps · 10 to 9
        Mar 31, 2023 to Mar 27, 2024
      Signals
      4 dated events
      • B•••• J••••• R••• (General Counsel) appeared on Schedule A of A•••••••• C••••••• H•••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Minyoung Sohn (Member) no longer on Schedule A of A•••••••• C••••••• H•••••••• L•• (listed 2020-03-30, absent 2020-05-08)
        May 8, 2020 · Control person left · inference
      • Kirk Daniel Reid (Chief Operation And Technology Officer) appeared on Schedule A of A•••••••• C••••••• H•••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • A•••••••• C••••••• H•••••••• L•• reported RAUM $19.5B, up 37% from $14.3B (2019-01-14 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Firm profile
      H•••S://WWW.LINKEDIN.COM/COMPANY/1098362reportedpublic record, Form ADV, Sep 18, 2026
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      303-398-2929reportedpublic record, Form ADV, Mar 31, 2026
      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
      Other 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