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•••• P•••• C•••••• L••

Former SEC-registered adviserCRD 155819SEC 801-72022IAPD
Latest filing Sep 17, 2020
First filing on the tape Nov 11, 2011 · 22 filings
RAUM
$13.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$4.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$15.1M as of Mar 12, 2020
Mar 31, 2012$104M then
HNW client RAUM$202,713 as of Mar 12, 2020
Mar 31, 2018$2.2M then
State-registered IARs (5.B.3)1 as of Mar 12, 2020
Mar 31, 20120 then
Employees (5.A)1 as of Mar 12, 2020
Mar 21, 20131 then
Private funds1 as of Mar 21, 2013
Mar 31, 20121 then
RAUM -49% over the last fiscal year-49% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 17, 2020; every figure names its basis
RAUM per advisor
$4.5MderivedRAUM 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
$746,798derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-42%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • Other investment advisers$9.3M69%
  • High-net-worth individuals$4.2M31%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• W•••••• C•••••••Dacono, CoNov 5, 202122 y7
C•••• S••••• S•••••Boulder, CoApr 6, 202224 y2
K•••• W•••••• M•••••Arvada, CoSep 14, 202613 y0
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
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    N••••• D•• L•••no longer reportedHedge Fund$11.4M5Mar 31, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••• C••••• S••••• · Managing Member/Chief Compliance Officercontrol
      since 11/2010 · owns 75% or more
    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
    • Accounts · 21 to 18
      Jun 30, 2020 to Jun 30, 2020
    • Discretionary RAUM · $15.1M to $13.4M
      Jun 30, 2020 to Jun 30, 2020
    • HNW RAUM · $202,713 to $4.2M
      Jun 30, 2020 to Jun 30, 2020
    • Individual RAUM · 147789.0 to unset
      Jun 30, 2020 to Jun 30, 2020
    • RAUM · $15.1M to $13.4M
      Jun 30, 2020 to Jun 30, 2020
    • Accounts · 30 to 21
      Apr 15, 2019 to Mar 12, 2020
    • Assets in custody · 17167009.0 to unset
      Apr 15, 2019 to Mar 12, 2020
    • Custody of client assets · true to false
      Apr 15, 2019 to Mar 12, 2020
    • Discretionary RAUM · $26.1M to $15.1M
      Apr 15, 2019 to Mar 12, 2020
    • HNW RAUM · $1.8M to $202,713
      Apr 15, 2019 to Mar 12, 2020
    • Individual RAUM · $160,743 to $147,789
      Apr 15, 2019 to Mar 12, 2020
    • RAUM · $26.1M to $15.1M
      Apr 15, 2019 to Mar 12, 2020
    • HQ city · BOULDER to unset
      Mar 31, 2019 to Apr 15, 2019
    • HQ state · CO to unset
      Mar 31, 2019 to Apr 15, 2019
    • Accounts · 62 to 30
      Mar 31, 2018 to Mar 31, 2019
    • Assets in custody · unset to 17167009.0
      Mar 31, 2018 to Mar 31, 2019
    • Custody of client assets · false to true
      Mar 31, 2018 to Mar 31, 2019
    • Discretionary RAUM · $16.6M to $26.1M
      Mar 31, 2018 to Mar 31, 2019
    • HNW RAUM · $2.2M to $1.8M
      Mar 31, 2018 to Mar 31, 2019
    • Individual RAUM · $2.3M to $160,743
      Mar 31, 2018 to Mar 31, 2019
    • Non-discretionary RAUM · $17.1M to $0
      Mar 31, 2018 to Mar 31, 2019
    • RAUM · $33.7M to $26.1M
      Mar 31, 2018 to Mar 31, 2019
    • Accounts · 61 to 62
      Mar 30, 2017 to Mar 31, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Mar 31, 2018
    • Discretionary RAUM · $21.6M to $16.6M
      Mar 30, 2017 to Mar 31, 2018
    • HNW RAUM · unset to 2158226.0
      Mar 30, 2017 to Mar 31, 2018
    • Individual RAUM · unset to 2269858.0
      Mar 30, 2017 to Mar 31, 2018
    • Non-discretionary RAUM · $82.6M to $17.1M
      Mar 30, 2017 to Mar 31, 2018
    • RAUM · $104M to $33.7M
      Mar 30, 2017 to Mar 31, 2018
    • Discretionary RAUM · $24.1M to $21.6M
      May 6, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $90.7M to $82.6M
      May 6, 2016 to Mar 30, 2017
    • RAUM · $115M to $104M
      May 6, 2016 to Mar 30, 2017
    • Accounts · 67 to 61
      Mar 31, 2015 to Mar 23, 2016
    • Discretionary RAUM · $35.5M to $24.1M
      Mar 31, 2015 to Mar 23, 2016
    • Non-discretionary RAUM · $80.8M to $90.7M
      Mar 31, 2015 to Mar 23, 2016
    • RAUM · $116M to $115M
      Mar 31, 2015 to Mar 23, 2016
    • Advisory activities · 3 to 2
      Oct 21, 2014 to Mar 31, 2015
    • Discretionary RAUM · $36.2M to $35.5M
      Oct 21, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $80.0M to $80.8M
      Oct 21, 2014 to Mar 31, 2015
    • RAUM · $116M to $116M
      Oct 21, 2014 to Mar 31, 2015
    Signals
    1 dated events
    • K•••• W•••••• M••••• registered as an investment adviser representative at F•••• P•••• C•••••• L••
      Sep 14, 2026 · Advisor registered · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Website
    F••••P••••CAP.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $6.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026