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
F•••• N••••••• F••• A•••••••
Legal name F•••• N••••••• B••• O• O••••
Latest filing Mar 2, 2021
First filing on the tape Dec 5, 2011 · 14 filings
RAUM
$761M
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
14
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$761M as of Mar 2, 2021
Mar 27, 2012$190M then
HNW client RAUM$0 as of Mar 2, 2021
Mar 28, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 2, 2021
Mar 27, 20120 then
Employees (5.A)14 as of Mar 2, 2021
Mar 28, 201310 then
Private funds: no history
RAUM +5.9% over the last fiscal year+5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2021; every figure names its basis
- RAUM per advisor
- $761MderivedRAUM 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
- $152MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$761M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• C••••••• H•••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- S••••••• K•••••• D•••• · Vice President, Investment Managementcontrolsince 02/2010 · owns less than 5%
- H•••••• R•••••• J• · Managing Director, Institutional Fixed Incomesince 11/2011 · owns less than 5%
- L•••••• C••••••• D•••• · Portfolio Manager, Investment Managementsince 09/2014 · owns less than 5%
- N••••••••• T•••••• J•••• · Senior Director, Institutional Fixed Incomesince 11/2011 · owns less than 5%
Entity owners
- F•••• N••••••• B••• O• O•••• · Directdirect · owns 75% or more
- F•••• N••••••• B••• O• O•••• · Directindirect · owns 75% or more of F•••• N••••••• F••• A•••••••
- F•••• N••••••• O• N•••••••• I••• · Shareholder - Commonindirect · owns 75% or more of F•••• N••••••• B••• O• O••••
Related persons
Schedule D 7.A
- F•••• N••••••• A•••••••• L••investment advisernRAUM $7.4B
- F•••• N••••••• C•••••• M••••••• I•••broker-dealernRAUM $139M
- F•••• N••••••• O• N•••••••• I••y
- T•••••••• C•••••• M••••••••• L••investment advisernRAUM $1.9B
Advisers that list F•••• N••••••• F••• A••••••• as a related person
- 115920 n
Offices
Schedule D 1.F, the 25 largest
- Fort Collins, CO5 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $718M to $761MMar 9, 2020 to Mar 2, 2021
- RAUM · $718M to $761MMar 9, 2020 to Mar 2, 2021
- Discretionary RAUM · $608M to $718MJan 31, 2019 to Mar 9, 2020
- RAUM · $608M to $718MJan 31, 2019 to Mar 9, 2020
- BD registered reps · 0 to 1Mar 28, 2018 to Jan 31, 2019
- Employees · 13 to 14Mar 28, 2018 to Jan 31, 2019
- State-registered IARs · 0 to 1Mar 28, 2018 to Jan 31, 2019
- Discretionary RAUM · $641M to $608MMar 28, 2018 to Jan 31, 2019
- RAUM · $641M to $608MMar 28, 2018 to Jan 31, 2019
- Advisory employees · 11 to 12Mar 22, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- HNW clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Employees · 12 to 13Mar 22, 2017 to Mar 28, 2018
- Other offices · unset to 1.0Mar 22, 2017 to Mar 28, 2018
- Discretionary RAUM · $607M to $641MMar 22, 2017 to Mar 28, 2018
- HNW RAUM · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Individual RAUM · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Pension RAUM · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- RAUM · $607M to $641MMar 22, 2017 to Mar 28, 2018
- Advisory employees · 12 to 11Oct 3, 2016 to Mar 22, 2017
- Employees · 13 to 12Oct 3, 2016 to Mar 22, 2017
- Discretionary RAUM · $587M to $607MOct 3, 2016 to Mar 22, 2017
- RAUM · $587M to $607MOct 3, 2016 to Mar 22, 2017
- Accounts · 4 to 5Mar 9, 2015 to Mar 21, 2016
- Advisory employees · 11 to 12Mar 9, 2015 to Mar 21, 2016
- Employees · 12 to 13Mar 9, 2015 to Mar 21, 2016
- Discretionary RAUM · $503M to $587MMar 9, 2015 to Mar 21, 2016
- RAUM · $503M to $587MMar 9, 2015 to Mar 21, 2016
- Discretionary RAUM · $497M to $503MOct 21, 2014 to Mar 9, 2015
- RAUM · $497M to $503MOct 21, 2014 to Mar 9, 2015
- Accounts · 2 to 4Mar 10, 2014 to Oct 21, 2014
- Advisory employees · 4 to 11Mar 10, 2014 to Oct 21, 2014
- Employees · 6 to 12Mar 10, 2014 to Oct 21, 2014
- Discretionary RAUM · $186M to $497MMar 10, 2014 to Oct 21, 2014
- RAUM · $186M to $497MMar 10, 2014 to Oct 21, 2014
Signals
3 dated events
- Henry Charles Richter (Chief Compliance Officer) appeared on Schedule A of F•••• N••••••• F••• A•••••••Jan 31, 2019 · Control person joined · fact
- Joseph Thomas Somelofske (Chief Compliance Officer) no longer on Schedule A of F•••• N••••••• F••• A••••••• (listed 2018-03-28, absent 2019-01-31)Jan 31, 2019 · Control person left · inference
- F•••• N••••••• F••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 5, 2011 · Succession (Item 4) · 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