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

W••••• O••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 150817SEC 801-70781IAPD
Latest filing Jul 25, 2012
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$305M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$24.7M gross assets
History
2 filings and snapshots on the tape
RAUM$305M as of Jul 25, 2012
Mar 30, 2012$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 25, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds3 as of Jul 25, 2012
Mar 30, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 25, 2012; 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
$9.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
34reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
W••••• A••••••••• F•••• I••••• A••••• F•••• L•••Hedge Fund$11.6M34Mar 30, 2012
W••••• I••••• A•• G••••• F•••• L•••Hedge Fund$9.8M25Mar 30, 2012
W••••• H••••• I••••••••• P•••••••• L•••Hedge Fund$3.4M6Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • D•••••••• K•••••• A•• · Chief Financial Officercontrol
    since 02/2011 · owns less than 5%
  • M••• I••••• M•••• · Chief Compliance Officercontrol
    since 06/2012 · owns less than 5%
  • S••••• D••• E• · Chief Executive Officercontrol
    since 07/2009 · owns less than 5%
  • M••• I••••• M•••• · Trusteecontrol
    since 07/2012 · owns F of E••• D• W••••• 2••• T••••
  • S••••• D••• E• · Managercontrol
    since 04/2007 · owns 50% to 75% of O••••••••• L•••
Entity owners
  • O••••••••• L••• · Member
    direct · owns 25% to 50%
  • W••••• I••••••••• M••••••••• I••• · Member
    direct · owns 50% to 75%
  • E••• D• W••••• 2••• T•••• · Sole Voting Shareholder
    indirect · owns 75% or more of W••••• I••••••••• M••••••••• I•••
Related persons
Schedule D 7.A
  • W••• G•• L••
    pooled vehicle sponsorn
  • W••• G•• L••
    pooled vehicle sponsorn
  • W••• G•• L••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO
What changed
consecutive filings, newest first
  • Accounts · 36 to 34
    Mar 30, 2012 to Jul 25, 2012
  • Financial planning clients · 11-25 to 26-50
    Mar 30, 2012 to Jul 25, 2012
  • Discretionary RAUM · $224M to $305M
    Mar 30, 2012 to Jul 25, 2012
  • RAUM · $224M to $305M
    Mar 30, 2012 to Jul 25, 2012
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