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.

Former SEC-registered adviser

Rmb West, LLC

Former SEC-registered adviserDenver, ColoradoCRD 158138SEC 801-72566IAPD
Latest filing Nov 17, 2022
First filing on the tape Nov 18, 2011 · 29 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$255M as of Mar 27, 2015
Mar 28, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2022
Mar 27, 20135 then
Employees (5.A)3 as of Mar 30, 2022
Mar 27, 20139 then
Private funds: 5
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Nov 17, 2022; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
43reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Left, latest
Joined, latest
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
    • Mcfarland Richard Burridge · Chief Executive Officer, Co-Chief Investment Officercontrol
      since 04/2011 · owns less than 5%
    • Anne Laura Flentye · Chief Administrative Officercontrol
      since 01/2018 · owns less than 5%
    • Michael Christopher Graff · Co-Chief Investment Officer, Managing Director Of Asset Managementcontrol
      since 04/2005 · owns less than 5%
    • Abrahim Maher Harb · Chief Financial Officercontrol
      since 04/2011 · owns less than 5%
    • Daniel Joseph Mcdermott · Chief Compliance Officercontrol
      since 10/2022 · owns less than 5%
    • Nmn Frederick Paulman · Presidentcontrol
      since 04/2011 · owns less than 5%
    • Allen Donald Bechter · Managing Director, West & Managercontrol
      since 12/2019 · owns F of Rmb Capital Holdings, LLC
    • Mcfarland Richard Burridge · Chief Executive Officer & Chief Investment Officer & Managercontrol
      since 04/2005 · owns 50% to 75% of Rmb Capital Holdings LLC
    • Nmn Frederick Paulman · President And Managercontrol
      since 07/2005 · owns F of Rmb Capital Holdings LLC
    Entity owners
    • Rmb Capital Management · Manager And Member
      direct · owns 75% or more
    • Rmb Capital Holdings, LLC · Member And Manager
      indirect · owns 75% or more of Rmb Capital Management, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Pension plan clients · 52 to 43
      Mar 16, 2020 to Feb 9, 2021
    • Advisory employees · 2 to 3
      Jan 21, 2020 to Mar 16, 2020
    • Pension plan clients · 44 to 52
      Jan 21, 2020 to Mar 16, 2020
    • Employees · 2 to 3
      Jan 21, 2020 to Mar 16, 2020
    • State-registered IARs · 2 to 3
      Jan 21, 2020 to Mar 16, 2020
    • Pension plan clients · unset to 44.0
      Jan 3, 2018 to Feb 13, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Jan 3, 2018
    • Employees · 3 to 2
      Jun 18, 2015 to Mar 28, 2016
    • Accounts · 1567.0 to unset
      Mar 27, 2015 to Jun 18, 2015
    • Advisory employees · 6 to 2
      Mar 27, 2015 to Jun 18, 2015
    • Advisory activities · 4 to 1
      Mar 27, 2015 to Jun 18, 2015
    • Assets in custody · 3797241.0 to unset
      Mar 27, 2015 to Jun 18, 2015
    • Custody of client assets · true to false
      Mar 27, 2015 to Jun 18, 2015
    • Employees · 14 to 3
      Mar 27, 2015 to Jun 18, 2015
    • Financial planning clients · 51-100 to 0
      Mar 27, 2015 to Jun 18, 2015
    • State-registered IARs · 6 to 2
      Mar 27, 2015 to Jun 18, 2015
    • Discretionary RAUM · 240994479.0 to unset
      Mar 27, 2015 to Jun 18, 2015
    • Non-discretionary RAUM · 13903270.0 to unset
      Mar 27, 2015 to Jun 18, 2015
    • RAUM · 254897749.0 to unset
      Mar 27, 2015 to Jun 18, 2015
    • Accounts · 1,448 to 1,567
      Nov 24, 2014 to Mar 27, 2015
    • Advisory employees · 5 to 6
      Nov 24, 2014 to Mar 27, 2015
    • Assets in custody · $1.2M to $3.8M
      Nov 24, 2014 to Mar 27, 2015
    • Employees · 10 to 14
      Nov 24, 2014 to Mar 27, 2015
    • Discretionary RAUM · $639M to $241M
      Nov 24, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $218M to $13.9M
      Nov 24, 2014 to Mar 27, 2015
    • RAUM · $857M to $255M
      Nov 24, 2014 to Mar 27, 2015
    • Related bank · false to true
      Nov 24, 2014 to Mar 27, 2015
    • Accounts · 1,041 to 1,448
      Oct 18, 2013 to Mar 26, 2014
    • Advisory employees · 4 to 5
      Oct 18, 2013 to Mar 26, 2014
    • Assets in custody · $1.8M to $1.2M
      Oct 18, 2013 to Mar 26, 2014
    • Employees · 9 to 10
      Oct 18, 2013 to Mar 26, 2014
    • Insurance-licensed employees · 1 to 0
      Oct 18, 2013 to Mar 26, 2014
    • State-registered IARs · 5 to 6
      Oct 18, 2013 to Mar 26, 2014
    • Discretionary RAUM · $135M to $639M
      Oct 18, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $11.5M to $218M
      Oct 18, 2013 to Mar 26, 2014
    • RAUM · $146M to $857M
      Oct 18, 2013 to Mar 26, 2014
    • Accounts · 677 to 1,041
      Feb 22, 2013 to Mar 27, 2013
    • Advisory employees · 3 to 4
      Feb 22, 2013 to Mar 27, 2013
    • Assets in custody · $1.3M to $1.8M
      Feb 22, 2013 to Mar 27, 2013
    • Employees · 6 to 9
      Feb 22, 2013 to Mar 27, 2013
    Signals
    14 dated events
    • Rmb West, LLC's advisors moved to Curi Capital, LLC (Denver, CO): 5 of 6 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    • Loren B Knaster left Rmb West, Llc for Curi Capital, Llc (registered 2012-05-22)
      Dec 31, 2022 · Advisor changed firm · fact
    • Seth Michael Davis left Rmb West, Llc for Curi Capital, Llc (registered 2012-03-26)
      Dec 31, 2022 · Advisor changed firm · fact
    • Donald Allen Bechter left Rmb West, Llc for Curi Capital, Llc (registered 2011-12-09)
      Dec 31, 2022 · Advisor changed firm · fact
    • James Philip Rosselle left Rmb West, Llc for Curi Capital, Llc (registered 2026-08-05)
      Dec 31, 2022 · Advisor changed firm · fact
    • Patrick J Stimson left Rmb West, Llc for Curi Capital, Llc (registered 2014-04-24)
      Dec 31, 2022 · Advisor changed firm · fact
    • Frederick Nmn Paulman no longer registered at Rmb West, Llc; no later IA registration on IAPD
      Dec 31, 2022 · Advisor departure · fact
    • Daniel Joseph Mcdermott (Chief Compliance Officer) appeared on Schedule A of Rmb West, Llc
      Nov 17, 2022 · Control person joined · fact
    • Greig John Davis (Chief Compliance Officer) no longer on Schedule A of Rmb West, Llc (listed 2022-05-02, absent 2022-06-17)
      Jun 17, 2022 · Control person left · inference
    • Anne Laura Flentye (Chief Compliance Officer) appeared on Schedule A of Rmb West, Llc
      Jun 17, 2022 · Control person joined · fact
    • Greig John Davis (Chief Compliance Officer) appeared on Schedule A of Rmb West, Llc
      Jan 21, 2020 · Control person joined · fact
    • Allen Donald Bechter (Managing Director, West & Manager) appeared on Schedule A of Rmb West, Llc
      Jan 21, 2020 · Control person joined · fact
    • Henry Walter Clark (Chief Operating Officer And Manager) no longer on Schedule A of Rmb West, Llc (listed 2019-03-26, absent 2020-01-21)
      Jan 21, 2020 · Control person left · inference
    • Marie Lisa Tamburini (Chief Compliance Officer) no longer on Schedule A of Rmb West, Llc (listed 2019-03-26, absent 2020-01-21)
      Jan 21, 2020 · Control person left · inference
    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