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

E•••• A•••••••• I•••

Former SEC-registered adviserColorado Springs, ColoradoCRD 157461SEC 801-72377IAPD
Latest filing Dec 12, 2019
First filing on the tape Nov 9, 2011 · 24 filings
RAUM
$280M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
16%
$44.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$280M as of Jan 17, 2019
Feb 6, 2012$75.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 17, 2019
Feb 6, 20120 then
Employees (5.A)10 as of Jan 17, 2019
Apr 1, 20135 then
Private funds: no history
RAUM +4.7% over the last fiscal year+7.6% a year over threeIARs 6 to 3
Practice profile
derived from the filing of Dec 12, 2019; every figure names its basis
RAUM per advisor
$93.4MderivedRAUM 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
$161,232derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.7%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$280M, 1,737 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
  • 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)
  • 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
  • Charitable organizations$236M84%
  • Individuals$44.5M16%
Individual clients
1,527reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
210reported
Accounts
1,737reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$280M for 1,737 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• B••••• H•••• · Chief Executive Officer, Secretary, Treasurer, Ccocontrol
    since 11/2010 · owns less than 5%
  • B•••••••• B••••• H•••• · Managing Membercontrol
    since 11/2010 · owns 75% or more of A••••• M••••••••• L••
  • B•••••••• B••••• H•••• · Chief Executive Officer/Secretarytreasurercontrol
    since 11/2010 · owns 50% to 75% of T•• E••••••••• I•••
Entity owners
  • T•• E••••••••• I••• · Holding Company
    direct · owns 75% or more
  • A••••• M••••••••• L•• · Member
    indirect · owns 50% to 75% of T•• E••••••••• I•••
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 · 1,726 to 1,737
    Oct 9, 2018 to Jan 17, 2019
  • Advisory activities · 3 to 2
    Oct 9, 2018 to Jan 17, 2019
  • Charity clients · 178 to 210
    Oct 9, 2018 to Jan 17, 2019
  • Individual clients · 1,548 to 1,527
    Oct 9, 2018 to Jan 17, 2019
  • Assets in custody · $287M to $280M
    Oct 9, 2018 to Jan 17, 2019
  • State-registered IARs · 6 to 3
    Oct 9, 2018 to Jan 17, 2019
  • Individual RAUM · $46.6M to $44.5M
    Oct 9, 2018 to Jan 17, 2019
  • Non-discretionary RAUM · $267M to $280M
    Oct 9, 2018 to Jan 17, 2019
  • RAUM · $267M to $280M
    Oct 9, 2018 to Jan 17, 2019
  • Assets in custody · unset to 287320939.0
    May 22, 2018 to Aug 3, 2018
  • Custody of client assets · false to true
    May 22, 2018 to Aug 3, 2018
  • Accounts · 1,835 to 1,726
    Feb 27, 2018 to Mar 8, 2018
  • Charity clients · unset to 178.0
    Feb 27, 2018 to Mar 8, 2018
  • Individual clients · unset to 1548.0
    Feb 27, 2018 to Mar 8, 2018
  • Individual RAUM · unset to 46592075.0
    Feb 27, 2018 to Mar 8, 2018
  • Non-discretionary RAUM · $234M to $267M
    Feb 27, 2018 to Mar 8, 2018
  • RAUM · $234M to $267M
    Feb 27, 2018 to Mar 8, 2018
  • Other offices · unset to 0.0
    Jul 20, 2017 to Feb 27, 2018
  • Accounts · 1,800 to 1,835
    Mar 29, 2016 to Jul 20, 2017
  • BD registered reps · 11 to 0
    Mar 29, 2016 to Jul 20, 2017
  • Employees · 11 to 10
    Mar 29, 2016 to Jul 20, 2017
  • Non-discretionary RAUM · $225M to $234M
    Mar 29, 2016 to Jul 20, 2017
  • RAUM · $225M to $234M
    Mar 29, 2016 to Jul 20, 2017
  • Related broker-dealer · true to false
    Mar 29, 2016 to Jul 20, 2017
  • Accounts · 146 to 1,800
    Jul 21, 2015 to Mar 29, 2016
  • Advisory employees · 5 to 3
    Jul 21, 2015 to Mar 29, 2016
  • BD registered reps · 5 to 11
    Jul 21, 2015 to Mar 29, 2016
  • Employees · 5 to 11
    Jul 21, 2015 to Mar 29, 2016
  • Financial planning clients · 251-500 to 0
    Jul 21, 2015 to Mar 29, 2016
  • State-registered IARs · 5 to 6
    Jul 21, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $182M to $225M
    Jul 21, 2015 to Mar 29, 2016
  • RAUM · $182M to $225M
    Jul 21, 2015 to Mar 29, 2016
  • Accounts · 1,639 to 146
    Dec 15, 2014 to Mar 31, 2015
  • Advisory employees · 7 to 5
    Dec 15, 2014 to Mar 31, 2015
  • Employees · 7 to 5
    Dec 15, 2014 to Mar 31, 2015
  • Financial planning clients · More than 500 to 251-500
    Dec 15, 2014 to Mar 31, 2015
  • State-registered IARs · 6 to 5
    Dec 15, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $181M to $182M
    Dec 15, 2014 to Mar 31, 2015
  • RAUM · $181M to $182M
    Dec 15, 2014 to Mar 31, 2015
  • Accounts · 2,145 to 1,639
    Aug 20, 2013 to Mar 28, 2014
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