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Former SEC-registered adviserFormer SEC adviser· Denver, Colorado

Former SEC-registered adviser, based in Denver, Colorado.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 20 Form ADV filings for this adviser, the latest 4.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 159250 · SEC 801-120851 · 20 filingsShow
CRD 159250SEC 801-120851First filing on the tape Nov 29, 2012, latest Mar 22, 2022IAPD
RAUM
$0
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
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Mar 22, 2022
Jul 1, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2022
Jul 1, 20170 then
Employees (5.A)1 as of Mar 22, 2022
Jul 1, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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)
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
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• C•••• E••• · Managing Member/Ccocontrol
        since 11/2012 · owns 75% or more
      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 · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • Individual clients · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • Discretionary RAUM · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • Individual RAUM · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • Non-discretionary RAUM · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • RAUM · unset to 0.0
        Jun 21, 2021 to Mar 22, 2022
      • Advisory activities · 2 to 1
        Jun 9, 2021 to Jun 14, 2021
      • Accounts · 0.0 to unset
        Feb 23, 2021 to Mar 18, 2021
      • Discretionary RAUM · 0.0 to unset
        Feb 23, 2021 to Mar 18, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Feb 23, 2021 to Mar 18, 2021
      • RAUM · 0.0 to unset
        Feb 23, 2021 to Mar 18, 2021
      • Accounts · unset to 0.0
        Mar 26, 2018 to Mar 22, 2019
      • Discretionary RAUM · unset to 0.0
        Mar 26, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · unset to 0.0
        Mar 26, 2018 to Mar 22, 2019
      • RAUM · unset to 0.0
        Mar 26, 2018 to Mar 22, 2019
      • Accounts · 0.0 to unset
        Jul 1, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Jul 1, 2017 to Mar 26, 2018
      • Discretionary RAUM · 0.0 to unset
        Jul 1, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Jul 1, 2017 to Mar 26, 2018
      • RAUM · 0.0 to unset
        Jul 1, 2017 to Mar 26, 2018
      • Financial planning clients · unset to 0
        Aug 21, 2015 to Jul 1, 2017
      • Financial planning clients · 0 to unset
        Nov 29, 2012 to Aug 18, 2015
      Signals
      1 dated events
      • ••• Locked
        Nov 29, 2012 · 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