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

Chautauqua Capital Management LLC

Former SEC-registered adviserBoulder, ColoradoCRD 151238SEC 801-70567IAPD
Latest filing Nov 30, 2015
First filing on the tape Mar 27, 2012 · 14 filings
RAUM
$867M
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$74.1M gross assets
History
14 filings and snapshots on the tape
RAUM$843M as of Mar 17, 2015
Mar 27, 2012$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 17, 2015
Mar 27, 20120 then
Employees (5.A)9 as of Mar 17, 2015
Feb 5, 20137 then
Private funds2 as of Mar 17, 2015
Mar 12, 20141 then
RAUM +21% over the last fiscal year+105% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Nov 30, 2015; every figure names its basis
RAUM per advisor
$289MderivedRAUM 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
$66.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%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 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
$74.1M, 2 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$74.1M for 2 clientsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Brian Beitner · Managing Membercontrol
    since 02/2009 · owns 75% or more
  • James Daniel Boston · Chief Operating Officercontrol
    since 02/2015 · owns less than 5%
  • Roy Richard Huber · Chief Compliance Officercontrol
    since 01/2013 · owns less than 5%
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
  • Assets in custody · $74.3M to $74.1M
    Mar 17, 2015 to Aug 11, 2015
  • Discretionary RAUM · $843M to $867M
    Mar 17, 2015 to Aug 11, 2015
  • RAUM · $843M to $867M
    Mar 17, 2015 to Aug 11, 2015
  • Accounts · 14 to 13
    Mar 12, 2014 to Mar 17, 2015
  • Advisory employees · 5 to 4
    Mar 12, 2014 to Mar 17, 2015
  • Assets in custody · $31.4M to $74.3M
    Mar 12, 2014 to Mar 17, 2015
  • Private funds · 1 to 2
    Mar 12, 2014 to Mar 17, 2015
  • Discretionary RAUM · $716M to $843M
    Mar 12, 2014 to Mar 17, 2015
  • RAUM · $716M to $843M
    Mar 12, 2014 to Mar 17, 2015
  • Accounts · 13 to 14
    Nov 12, 2013 to Mar 12, 2014
  • Advisory employees · 3 to 5
    Nov 12, 2013 to Mar 12, 2014
  • Assets in custody · $18.5M to $31.4M
    Nov 12, 2013 to Mar 12, 2014
  • Employees · 7 to 9
    Nov 12, 2013 to Mar 12, 2014
  • Discretionary RAUM · $685M to $716M
    Nov 12, 2013 to Mar 12, 2014
  • RAUM · $685M to $716M
    Nov 12, 2013 to Mar 12, 2014
  • Accounts · 19 to 13
    Oct 21, 2013 to Nov 7, 2013
  • Accounts · 15 to 19
    Feb 5, 2013 to Oct 21, 2013
  • Advisory employees · 4 to 3
    Feb 5, 2013 to Oct 21, 2013
  • Advisory activities · 3 to 4
    Feb 5, 2013 to Oct 21, 2013
  • Assets in custody · $11.2M to $18.5M
    Feb 5, 2013 to Oct 21, 2013
  • Private funds · unset to 1
    Feb 5, 2013 to Oct 21, 2013
  • Discretionary RAUM · $240M to $685M
    Feb 5, 2013 to Oct 21, 2013
  • RAUM · $240M to $685M
    Feb 5, 2013 to Oct 21, 2013
  • Accounts · 8 to 15
    Jul 19, 2012 to Feb 5, 2013
  • Advisory employees · unset to 4.0
    Jul 19, 2012 to Feb 5, 2013
  • Assets in custody · $16.4M to $11.2M
    Jul 19, 2012 to Feb 5, 2013
  • Employees · unset to 7.0
    Jul 19, 2012 to Feb 5, 2013
  • State-registered IARs · 0 to 3
    Jul 19, 2012 to Feb 5, 2013
  • Discretionary RAUM · $106M to $240M
    Jul 19, 2012 to Feb 5, 2013
  • RAUM · $106M to $240M
    Jul 19, 2012 to Feb 5, 2013
  • Assets in custody · unset to 16377448.0
    May 18, 2012 to Jul 19, 2012
  • Custody of client assets · false to true
    May 18, 2012 to Jul 19, 2012
  • Discretionary RAUM · $100M to $106M
    Mar 27, 2012 to May 18, 2012
  • RAUM · $100M to $106M
    Mar 27, 2012 to May 18, 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