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

Avant-Garde Advisors LLC

Former SEC-registered adviserCentennial, ColoradoCRD 151527SEC 801-76860IAPD
Latest filing Sep 15, 2016
First filing on the tape Jun 25, 2012 · 16 filings
RAUM
$363M
reported, Item 5.F
Discretionary
96%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$363M as of Mar 29, 2016
Mar 28, 2013$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Mar 28, 201314 then
Employees (5.A)6 as of Mar 29, 2016
Mar 28, 201317 then
Private funds: no history
RAUM +25% over the last fiscal year+31% a year over threeIARs 18 to 3
Practice profile
derived from the filing of Sep 15, 2016; every figure names its basis
RAUM per advisor
$121MderivedRAUM 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
$574,211derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
-83%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
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
632reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dwayne Eric Patton · Chief Compliance Officercontrol
      since 09/2009 · owns less than 5%
    • Edward Jon Dubravac · Ceocontrol
      since 07/2009 · owns 25% to 50% of Avant-Garde Wealth Mangement Inc.
    • Dwayne Eric Patton · Cfocontrol
      since 08/2009 · owns 25% to 50% of Avant-Garde Wealth Mangement Inc.
    Entity owners
    • Avant-Garde Wealth Mangement Inc. · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Century City, CA
    • Grand Junction, CO
    • Saint Petersburg, FL
    What changed
    consecutive filings, newest first
    • Advisory activities · 6 to 5
      Mar 29, 2016 to Sep 15, 2016
    • Accounts · 1,197 to 632
      Jan 21, 2016 to Mar 29, 2016
    • Advisory employees · 18 to 3
      Jan 21, 2016 to Mar 29, 2016
    • Employees · 23 to 6
      Jan 21, 2016 to Mar 29, 2016
    • State-registered IARs · 18 to 3
      Jan 21, 2016 to Mar 29, 2016
    • Discretionary RAUM · $328M to $349M
      Jan 21, 2016 to Mar 29, 2016
    • Non-discretionary RAUM · $8.2M to $14.0M
      Jan 21, 2016 to Mar 29, 2016
    • RAUM · $336M to $363M
      Jan 21, 2016 to Mar 29, 2016
    • HQ city · CENTENNAIL to CENTENNIAL
      Aug 14, 2015 to Sep 17, 2015
    • Accounts · 950 to 1,197
      Jul 31, 2015 to Aug 14, 2015
    • Discretionary RAUM · $283M to $328M
      Jul 31, 2015 to Aug 14, 2015
    • RAUM · $291M to $336M
      Jul 31, 2015 to Aug 14, 2015
    • Accounts · 1,033 to 950
      Mar 31, 2014 to Mar 30, 2015
    • Advisory employees · 15 to 18
      Mar 31, 2014 to Mar 30, 2015
    • Employees · 17 to 23
      Mar 31, 2014 to Mar 30, 2015
    • State-registered IARs · 14 to 18
      Mar 31, 2014 to Mar 30, 2015
    • Discretionary RAUM · $265M to $283M
      Mar 31, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $13.3M to $8.2M
      Mar 31, 2014 to Mar 30, 2015
    • RAUM · $278M to $291M
      Mar 31, 2014 to Mar 30, 2015
    • Accounts · 959 to 1,033
      Jan 13, 2014 to Mar 31, 2014
    • Discretionary RAUM · $244M to $265M
      Jan 13, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $11.9M to $13.3M
      Jan 13, 2014 to Mar 31, 2014
    • RAUM · $256M to $278M
      Jan 13, 2014 to Mar 31, 2014
    • Succession · true to false
      Jan 13, 2014 to Mar 31, 2014
    • Accounts · 801 to 959
      Apr 18, 2013 to Dec 12, 2013
    • Financial planning clients · 51-100 to 251-500
      Apr 18, 2013 to Dec 12, 2013
    • HQ city · DENVER to CENTENNAIL
      Apr 18, 2013 to Dec 12, 2013
    • Discretionary RAUM · $158M to $244M
      Apr 18, 2013 to Dec 12, 2013
    • Non-discretionary RAUM · $2.6M to $11.9M
      Apr 18, 2013 to Dec 12, 2013
    • RAUM · $160M to $256M
      Apr 18, 2013 to Dec 12, 2013
    • Succession · false to true
      Apr 18, 2013 to Dec 12, 2013
    • Accounts · 670 to 801
      Jan 26, 2013 to Mar 28, 2013
    • Advisory employees · 14 to 15
      Jan 26, 2013 to Mar 28, 2013
    • Advisory activities · 5 to 6
      Jan 26, 2013 to Mar 28, 2013
    • Employees · 15 to 17
      Jan 26, 2013 to Mar 28, 2013
    • State-registered IARs · 12 to 14
      Jan 26, 2013 to Mar 28, 2013
    • Discretionary RAUM · $152M to $158M
      Jan 26, 2013 to Mar 28, 2013
    • Non-discretionary RAUM · $2.5M to $2.6M
      Jan 26, 2013 to Mar 28, 2013
    • RAUM · $154M to $160M
      Jan 26, 2013 to Mar 28, 2013
    • Accounts · 485 to 670
      Jun 25, 2012 to Dec 11, 2012
    Signals
    2 dated events
    • Avant-Garde Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 12, 2013 · Succession (Item 4) · fact
    • Avant-Garde Advisors Llc filed its initial SEC registration (Form ADV)
      Jun 25, 2012 · First SEC registration · fact
    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