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
C•••••• • K••••• L••
Latest filing Mar 23, 2016
First filing on the tape Nov 16, 2011 · 14 filings
RAUM
$600M
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
10
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$600M as of Mar 23, 2016
Mar 29, 2012$236M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 23, 2016
Mar 29, 20120 then
Employees (5.A)10 as of Mar 23, 2016
Mar 12, 20137 then
Private funds: no history
RAUM +88% over the last fiscal year+34% a year over threeIARs 5 to 10
Practice profile
derived from the filing of Mar 23, 2016; every figure names its basis
- RAUM per advisor
- $60.0MderivedRAUM 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
- $1.3MderivedRAUM 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
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +88%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
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
- 446reported
- Financial planning clients
- 11-25reported
- 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
Left, latest
- D•••• J•••• K•••• to N•••••••• A•••• M•••••••••Jun 9, 2016 · Other
- W•••••• D•••• V•• K••••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
- K•••••• P• T•••••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
- N••••• J•••• K•••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
- C••••••• R•••••• H••••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
- R••••• L•••• C••••••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
- C•••• E•••• C•••••• to T•••••••• W•••••• L••Jun 9, 2016 · Other
Joined, latest
- K•••••• P• T•••••• from V••••• I••••••••• P•••••••• L••Nov 24, 2015 · Other
- R••••• L•••• C••••••• from V••••• I••••••••• P•••••••• L••Nov 24, 2015 · Other
- N••••• J•••• K•••• from N•••••••• A•••• M•••••••••Mar 7, 2012 · Other
- W•••••• D•••• V•• K••••• from C•••••• • C••••••• I•••••••••Nov 2, 2011 · Other
- C••••••• R•••••• H••••• from C•••••• • C••••••• I•••••••••Nov 2, 2011 · Other
- C•••• E•••• C•••••• from C•••••• • C••••••• I•••••••••Nov 2, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for T•••••••• W•••••• L••Jun 9, 2016 · Denver, Co · Firm absorbed
- 2 joined from V••••• I••••••••• P•••••••• L••Jul 10, 2015 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• E•••• · Chief Compliance Officercontrolsince 09/2011 · owns less than 5%
- K••••• D••••• J•••• · Membercontrolsince 08/2011 · owns 50% to 75%
- K••••• N•••••• J•••• · Membercontrolsince 08/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Colorado Springs, CO
What changed
consecutive filings, newest first
- Accounts · 350 to 446Jan 4, 2016 to Mar 23, 2016
- Discretionary RAUM · $550M to $600MJan 4, 2016 to Mar 23, 2016
- RAUM · $550M to $600MJan 4, 2016 to Mar 23, 2016
- HQ city · COLORADO SPRINGS to DENVERJul 1, 2015 to Sep 28, 2015
- Accounts · 187 to 350Mar 19, 2015 to Jul 1, 2015
- Advisory employees · 5 to 10Mar 19, 2015 to Jul 1, 2015
- BD registered reps · 2 to 0Mar 19, 2015 to Jul 1, 2015
- Employees · 5 to 10Mar 19, 2015 to Jul 1, 2015
- State-registered IARs · 5 to 10Mar 19, 2015 to Jul 1, 2015
- Discretionary RAUM · $320M to $550MMar 19, 2015 to Jul 1, 2015
- RAUM · $320M to $550MMar 19, 2015 to Jul 1, 2015
- Accounts · 193 to 187Mar 27, 2014 to Mar 19, 2015
- Discretionary RAUM · $282M to $320MMar 27, 2014 to Mar 19, 2015
- RAUM · $282M to $320MMar 27, 2014 to Mar 19, 2015
- Accounts · 275 to 193Dec 3, 2013 to Mar 27, 2014
- Advisory employees · 4 to 5Dec 3, 2013 to Mar 27, 2014
- Employees · 7 to 5Dec 3, 2013 to Mar 27, 2014
- State-registered IARs · 7 to 5Dec 3, 2013 to Mar 27, 2014
- Discretionary RAUM · $250M to $282MDec 3, 2013 to Mar 27, 2014
- RAUM · $250M to $282MDec 3, 2013 to Mar 27, 2014
- Business name · C•••••• • C••••••• L•• to C•••••• • K••••• L••Nov 14, 2013 to Dec 3, 2013
- Accounts · 545 to 275Dec 20, 2012 to Mar 12, 2013
- Legal name · C•••••• • C••••••• L•• to C•••••• • K••••• L••Dec 20, 2012 to Mar 12, 2013
- Discretionary RAUM · $236M to $250MDec 20, 2012 to Mar 12, 2013
- RAUM · $236M to $250MDec 20, 2012 to Mar 12, 2013
- Advisory employees · unset to 4.0Mar 29, 2012 to Dec 20, 2012
- BD registered reps · 0 to 2Mar 29, 2012 to Dec 20, 2012
- Employees · unset to 7.0Mar 29, 2012 to Dec 20, 2012
- State-registered IARs · 0 to 7Mar 29, 2012 to Dec 20, 2012
- Accounts · 253 to 545Jan 30, 2012 to Mar 29, 2012
- Discretionary RAUM · $225M to $236MJan 30, 2012 to Mar 29, 2012
- RAUM · $225M to $236MJan 30, 2012 to Mar 29, 2012
- Accounts · unset to 253.0Nov 16, 2011 to Jan 17, 2012
- Insurance-licensed employees · unset to 0.0Nov 16, 2011 to Jan 17, 2012
- Financial planning clients · 0 to 11-25Nov 16, 2011 to Jan 17, 2012
- Discretionary RAUM · unset to 225000000.0Nov 16, 2011 to Jan 17, 2012
- Non-discretionary RAUM · unset to 0.0Nov 16, 2011 to Jan 17, 2012
- RAUM · unset to 225000000.0Nov 16, 2011 to Jan 17, 2012
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