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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••••• W••••• M••••••••• L••

Former SEC-registered adviserGlendale, ColoradoCRD 157237SEC 801-107000IAPD
Latest filing Feb 28, 2019
First filing on the tape Nov 29, 2011 · 15 filings
RAUM
$181M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$181M as of Feb 28, 2019
Mar 30, 2012$22.0M then
HNW client RAUM$131M as of Feb 28, 2019
Feb 1, 2018$40.7M then
State-registered IARs (5.B.3)0 as of Feb 28, 2019
Mar 30, 20120 then
Employees (5.A)4 as of Feb 28, 2019
Mar 14, 20164 then
Private funds: no history
RAUM -4.2% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 28, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$850,374derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$131M72%
  • Individuals$50.4M28%
Individual clients
151reported
HNW clients
53reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
213reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • G••••• S•••••• L•• · Chief Compliance Officercontrol
      since 03/2016 · owns less than 5%
    • G•••••••• G•••••• D•••••• · Managing Membercontrol
      since 03/2011 · 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 · 497 to 213
      Feb 5, 2019 to Feb 28, 2019
    • Charity clients · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • Corporate clients · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • HNW clients · 133 to 53
      Feb 5, 2019 to Feb 28, 2019
    • Individual clients · 63 to 151
      Feb 5, 2019 to Feb 28, 2019
    • Pension plan clients · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • Pooled vehicle clients · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • Financial planning clients · 51-100 to 26-50
      Feb 5, 2019 to Feb 28, 2019
    • Discretionary RAUM · $186M to $176M
      Feb 5, 2019 to Feb 28, 2019
    • HNW RAUM · $40.7M to $131M
      Feb 5, 2019 to Feb 28, 2019
    • Individual RAUM · $148M to $50.4M
      Feb 5, 2019 to Feb 28, 2019
    • Non-discretionary RAUM · $2.6M to $5.6M
      Feb 5, 2019 to Feb 28, 2019
    • Pension RAUM · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Feb 5, 2019 to Feb 28, 2019
    • RAUM · $189M to $181M
      Feb 5, 2019 to Feb 28, 2019
    • Accounts · 486 to 497
      Nov 7, 2017 to Feb 1, 2018
    • Advisory employees · 3 to 4
      Nov 7, 2017 to Feb 1, 2018
    • HNW clients · 76 to 133
      Nov 7, 2017 to Feb 1, 2018
    • Individual clients · 121 to 63
      Nov 7, 2017 to Feb 1, 2018
    • Employees · 3 to 4
      Nov 7, 2017 to Feb 1, 2018
    • Discretionary RAUM · $179M to $186M
      Nov 7, 2017 to Feb 1, 2018
    • HNW RAUM · $153M to $40.7M
      Nov 7, 2017 to Feb 1, 2018
    • Individual RAUM · $28.5M to $148M
      Nov 7, 2017 to Feb 1, 2018
    • Non-discretionary RAUM · $2.4M to $2.6M
      Nov 7, 2017 to Feb 1, 2018
    • RAUM · $181M to $189M
      Nov 7, 2017 to Feb 1, 2018
    • Accounts · 459 to 486
      Apr 19, 2017 to Nov 7, 2017
    • Advisory activities · 3 to 2
      Apr 19, 2017 to Nov 7, 2017
    • HNW clients · unset to 76.0
      Apr 19, 2017 to Nov 7, 2017
    • Individual clients · unset to 121.0
      Apr 19, 2017 to Nov 7, 2017
    • Financial planning clients · 26-50 to 51-100
      Apr 19, 2017 to Nov 7, 2017
    • Other offices · unset to 0.0
      Apr 19, 2017 to Nov 7, 2017
    • Discretionary RAUM · $144M to $179M
      Apr 19, 2017 to Nov 7, 2017
    • HNW RAUM · unset to 152960027.0
      Apr 19, 2017 to Nov 7, 2017
    • Individual RAUM · unset to 28535981.0
      Apr 19, 2017 to Nov 7, 2017
    • Non-discretionary RAUM · $0 to $2.4M
      Apr 19, 2017 to Nov 7, 2017
    • RAUM · $144M to $181M
      Apr 19, 2017 to Nov 7, 2017
    • Accounts · 150 to 459
      Mar 14, 2016 to Feb 1, 2017
    • Employees · 4 to 3
      Mar 14, 2016 to Feb 1, 2017
    • State-registered IARs · 1 to 0
      Mar 14, 2016 to Feb 1, 2017
    • Discretionary RAUM · $108M to $144M
      Mar 14, 2016 to Feb 1, 2017
    Signals
    1 dated events
    • H•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 26, 2015 · 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