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•• C•••• P•••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 157499SEC 801-78960IAPD
Latest filing Feb 12, 2020
First filing on the tape Feb 15, 2012 · 17 filings
RAUM
$897M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.5%
$4.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$897M as of Feb 12, 2020
Mar 23, 2012$14.7M then
HNW client RAUM$4.2M as of Feb 12, 2020
Jan 24, 2018$4.8M then
State-registered IARs (5.B.3)5 as of Feb 12, 2020
Mar 23, 20120 then
Employees (5.A)8 as of Feb 12, 2020
Mar 25, 20147 then
Private funds: no history
RAUM -28% over the last fiscal year-16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 12, 2020; every figure names its basis
RAUM per advisor
$179MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$847,269derivedHNW RAUM over HNW clients
Average account
$40.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-28%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • Pension and profit-sharing plans$500M56%
  • Investment companies$211M23%
  • State and municipal entities$98.5M11%
  • Charitable organizations$62.9M7.0%
  • Corporations and businesses$20.2M2.2%
  • High-net-worth individuals$4.2M0.5%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
  • F•••••••• J••••• · Chief Compliance Officer/Chief Operating Officercontrol
    since 04/2011 · owns less than 5%
  • H•••• D••••• L••••••• · Membercontrol
    since 04/2011 · owns 25% to 50%
  • M•••••••• S•••• W•••••• · Membercontrol
    since 04/2011 · owns 25% to 50%
  • P••••• H••••• R• · Membercontrol
    since 04/2011 · owns 25% to 50%
  • P•••••••• J•••••• C••••••• · Membercontrol
    since 04/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 34 to 22
    Jul 3, 2019 to Feb 12, 2020
  • Pension plan clients · 18 to 11
    Jul 3, 2019 to Feb 12, 2020
  • Discretionary RAUM · $1.3B to $897M
    Jul 3, 2019 to Feb 12, 2020
  • HNW RAUM · $3.5M to $4.2M
    Jul 3, 2019 to Feb 12, 2020
  • Pension RAUM · $646M to $500M
    Jul 3, 2019 to Feb 12, 2020
  • RAUM · $1.3B to $897M
    Jul 3, 2019 to Feb 12, 2020
  • Accounts · 39 to 34
    Apr 26, 2018 to Feb 12, 2019
  • Advisory activities · 4 to 3
    Apr 26, 2018 to Feb 12, 2019
  • Pension plan clients · 16 to 18
    Apr 26, 2018 to Feb 12, 2019
  • State-registered IARs · 4 to 5
    Apr 26, 2018 to Feb 12, 2019
  • Discretionary RAUM · $1.8B to $1.3B
    Apr 26, 2018 to Feb 12, 2019
  • HNW RAUM · $4.8M to $3.5M
    Apr 26, 2018 to Feb 12, 2019
  • Pension RAUM · $939M to $646M
    Apr 26, 2018 to Feb 12, 2019
  • RAUM · $1.8B to $1.3B
    Apr 26, 2018 to Feb 12, 2019
  • Advisory employees · 5 to 4
    Jul 10, 2017 to Jan 24, 2018
  • HNW clients · unset to 5.0
    Jul 10, 2017 to Jan 24, 2018
  • Pension plan clients · unset to 16.0
    Jul 10, 2017 to Jan 24, 2018
  • Employees · 9 to 8
    Jul 10, 2017 to Jan 24, 2018
  • Financial planning clients · 0 to unset
    Jul 10, 2017 to Jan 24, 2018
  • State-registered IARs · 5 to 4
    Jul 10, 2017 to Jan 24, 2018
  • Other offices · unset to 1.0
    Jul 10, 2017 to Jan 24, 2018
  • Discretionary RAUM · $1.6B to $1.8B
    Jul 10, 2017 to Jan 24, 2018
  • HNW RAUM · unset to 4777673.0
    Jul 10, 2017 to Jan 24, 2018
  • Pension RAUM · unset to 938771584.0
    Jul 10, 2017 to Jan 24, 2018
  • RAUM · $1.6B to $1.8B
    Jul 10, 2017 to Jan 24, 2018
  • Discretionary RAUM · $1.5B to $1.6B
    Feb 27, 2017 to Jul 10, 2017
  • RAUM · $1.5B to $1.6B
    Feb 27, 2017 to Jul 10, 2017
  • Accounts · 43 to 39
    Feb 17, 2016 to Feb 27, 2017
  • Discretionary RAUM · $1.4B to $1.5B
    Feb 17, 2016 to Feb 27, 2017
  • RAUM · $1.4B to $1.5B
    Feb 17, 2016 to Feb 27, 2017
  • Accounts · 42 to 43
    Nov 19, 2015 to Feb 17, 2016
  • Discretionary RAUM · $1.4B to $1.4B
    Nov 19, 2015 to Feb 17, 2016
  • RAUM · $1.4B to $1.4B
    Nov 19, 2015 to Feb 17, 2016
  • Accounts · 33 to 42
    Apr 29, 2015 to Nov 19, 2015
  • Employees · 8 to 9
    Apr 29, 2015 to Nov 19, 2015
  • Discretionary RAUM · $801M to $1.4B
    Apr 29, 2015 to Nov 19, 2015
  • RAUM · $801M to $1.4B
    Apr 29, 2015 to Nov 19, 2015
  • Accounts · 29 to 33
    Mar 25, 2014 to Jan 22, 2015
  • Employees · 7 to 8
    Mar 25, 2014 to Jan 22, 2015
  • Discretionary RAUM · $243M to $801M
    Mar 25, 2014 to Jan 22, 2015
Signals
3 dated events
  • E•• C•••• P•••••••• L•• reported RAUM $896.8M, down 28% from $1.3B (2019-07-03 to 2020-02-12)
    Feb 12, 2020 · RAUM change · derived
  • E•• C•••• P•••••••• L•• reported RAUM $1.3B, down 29% from $1.8B (2018-04-26 to 2019-02-12)
    Feb 12, 2019 · RAUM change · derived
  • E•• C•••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 11, 2013 · 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