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

G• F•••••••• G•••• R••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 157344SEC 801-72363IAPD
Latest filing Mar 22, 2017
First filing on the tape Mar 12, 2012 · 9 filings
RAUM
$131M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$131M as of Mar 22, 2017
Mar 12, 2012$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 22, 2017
Mar 12, 20120 then
Employees (5.A)3 as of Mar 22, 2017
Feb 25, 20136 then
Private funds: no history
RAUM -8.1% over the last fiscal year-2.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2017; every figure names its basis
RAUM per advisor
$43.6MderivedRAUM 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
$327,742derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.1%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, hourly, fixed feesreportedItem 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
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
399reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• L•••••• J•••• · Member, Chief Compliance Officercontrol
    since 03/2011 · owns 50% to 75%
  • F••••••• S••••• W••••• · Membercontrol
    since 03/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO
What changed
consecutive filings, newest first
  • Accounts · 428 to 399
    Oct 20, 2016 to Mar 22, 2017
  • Employees · 5 to 3
    Oct 20, 2016 to Mar 22, 2017
  • Discretionary RAUM · $142M to $131M
    Oct 20, 2016 to Mar 22, 2017
  • RAUM · $142M to $131M
    Oct 20, 2016 to Mar 22, 2017
  • Accounts · 529 to 428
    Feb 26, 2015 to Mar 15, 2016
  • Discretionary RAUM · $148M to $142M
    Feb 26, 2015 to Mar 15, 2016
  • RAUM · $148M to $142M
    Feb 26, 2015 to Mar 15, 2016
  • Accounts · 460 to 529
    Mar 27, 2014 to Jan 29, 2015
  • Advisory employees · 6 to 3
    Mar 27, 2014 to Jan 29, 2015
  • BD registered reps · 4 to 3
    Mar 27, 2014 to Jan 29, 2015
  • Employees · 6 to 5
    Mar 27, 2014 to Jan 29, 2015
  • Discretionary RAUM · $139M to $148M
    Mar 27, 2014 to Jan 29, 2015
  • RAUM · $139M to $148M
    Mar 27, 2014 to Jan 29, 2015
  • Accounts · 450 to 460
    Feb 25, 2013 to Mar 27, 2014
  • Discretionary RAUM · $117M to $139M
    Feb 25, 2013 to Mar 27, 2014
  • RAUM · $117M to $139M
    Feb 25, 2013 to Mar 27, 2014
  • Related adviser · true to false
    Feb 25, 2013 to Mar 27, 2014
  • Accounts · 343 to 450
    Apr 16, 2012 to Feb 25, 2013
  • Advisory employees · unset to 6.0
    Apr 16, 2012 to Feb 25, 2013
  • BD registered reps · unset to 4.0
    Apr 16, 2012 to Feb 25, 2013
  • Employees · unset to 6.0
    Apr 16, 2012 to Feb 25, 2013
  • Insurance-licensed employees · 2 to 3
    Apr 16, 2012 to Feb 25, 2013
  • State-registered IARs · 0 to 3
    Apr 16, 2012 to Feb 25, 2013
  • Discretionary RAUM · $108M to $117M
    Apr 16, 2012 to Feb 25, 2013
  • RAUM · $108M to $117M
    Apr 16, 2012 to Feb 25, 2013
Signals
No event on the tape.
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