DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••••• A•••• M••••••••• L••
Latest filing Jun 3, 2026
First filing on the tape Jun 20, 2014 · 20 filings
SEC status approved since Jul 2, 2014
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$178,165 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$184M as of Jun 3, 2026
Mar 27, 2015$60.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 3, 2026
Mar 27, 20152 then
Employees (5.A)2 as of Jun 3, 2026
Mar 27, 20152 then
Private funds1 as of Jun 3, 2026
Mar 27, 20151 then
RAUM -11% over the last fiscal year-0.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $92.0MderivedRAUM 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
- $46.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 vehiclesreportedItem 5.G
- Custody
- $23.7M, 1 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)
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$159M87%
- Pooled investment vehicles$23.7M13%
- Individuals$178,1650.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.86 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• V•••••• H•••Chartered Financial Analyst | Denver, Co | Jan 1, 2025 | 24 y | 1 |
| W•••••• H••••• B•••• | Denver, Co | Jan 1, 2025 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• V•••••• H••• from B•• I••• F•••••••• L••Jan 1, 2025 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• D••••••••• L••• S•••• F••• L• | Hedge Fund | $27.9M | 3 | Jun 20, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• W••••••• H••••• · Membercontrolsince 12/2010 · owns 50% to 75%
- H•••• J••••• V•••••• · Member And Chief Compliance Officercontrolsince 04/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••••••• G• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 4Jan 11, 2026 to Mar 30, 2026
- Assets in custody · $30.1M to $23.7MJan 11, 2026 to Mar 30, 2026
- Discretionary RAUM · $207M to $184MJan 11, 2026 to Mar 30, 2026
- Individual RAUM · $191,916 to $178,165Jan 11, 2026 to Mar 30, 2026
- Pension RAUM · $175M to $159MJan 11, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $30.1M to $23.7MJan 11, 2026 to Mar 30, 2026
- RAUM · $207M to $184MJan 11, 2026 to Mar 30, 2026
- Accounts · 7 to 6Mar 26, 2024 to Mar 30, 2025
- Assets in custody · $1 to $30.1MMar 26, 2024 to Mar 30, 2025
- Financial planning clients · 0 to Mar 26, 2024 to Mar 30, 2025
- Discretionary RAUM · $206M to $207MMar 26, 2024 to Mar 30, 2025
- Individual RAUM · $172,130 to $191,916Mar 26, 2024 to Mar 30, 2025
- Pension RAUM · $175M to $175MMar 26, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $27.9M to $30.1MMar 26, 2024 to Mar 30, 2025
- RAUM · $206M to $207MMar 26, 2024 to Mar 30, 2025
- Accounts · 4 to 7Sep 6, 2023 to Mar 25, 2024
- Assets in custody · unset to 1.0Sep 6, 2023 to Mar 25, 2024
- Custody of client assets · false to trueSep 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $185M to $206MSep 6, 2023 to Mar 25, 2024
- Individual RAUM · $173,065 to $172,130Sep 6, 2023 to Mar 25, 2024
- Pension RAUM · $160M to $175MSep 6, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $24.6M to $27.9MSep 6, 2023 to Mar 25, 2024
- RAUM · $185M to $206MSep 6, 2023 to Mar 25, 2024
- Accounts · 3 to 4Mar 11, 2022 to Feb 16, 2023
- Advisory activities · 4 to 3Mar 11, 2022 to Feb 16, 2023
- Discretionary RAUM · $256M to $185MMar 11, 2022 to Feb 16, 2023
- Individual RAUM · unset to 173065.0Mar 11, 2022 to Feb 16, 2023
- Pension RAUM · $222M to $160MMar 11, 2022 to Feb 16, 2023
- Pooled vehicle RAUM · $32.0M to $24.6MMar 11, 2022 to Feb 16, 2023
- RAUM · $256M to $185MMar 11, 2022 to Feb 16, 2023
- Discretionary RAUM · $255M to $256MFeb 18, 2021 to Mar 11, 2022
- Pension RAUM · $217M to $222MFeb 18, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $34.5M to $32.0MFeb 18, 2021 to Mar 11, 2022
- RAUM · $255M to $256MFeb 18, 2021 to Mar 11, 2022
- Advisory activities · 3 to 4Sep 28, 2020 to Feb 18, 2021
- Discretionary RAUM · $212M to $255MSep 28, 2020 to Feb 18, 2021
- Pension RAUM · $178M to $217MSep 28, 2020 to Feb 18, 2021
- Pooled vehicle RAUM · $30.5M to $34.5MSep 28, 2020 to Feb 18, 2021
- RAUM · $212M to $255MSep 28, 2020 to Feb 18, 2021
- Discretionary RAUM · $100M to $212MFeb 26, 2020 to Sep 28, 2020
Signals
2 dated events
- B••••••• A•••• M••••••••• L•• reported RAUM $211.7M, up 111% from $100.1M (2020-02-26 to 2020-09-28)Sep 28, 2020 · RAUM change · derived
- B••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 2014 · 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.
How to reach
public business contact points only, each with its source
- Website
- B•••••••-AM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 720 545 9988reportedpublic record, Form ADV, Jun 3, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $92.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026