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

P•••• R••• E••••• O••••••••• R••• L••

Former SEC-registered adviserDenver, ColoradoCRD 159959SEC 801-73093IAPD
Latest filing Mar 29, 2019
First filing on the tape Jan 25, 2012 · 13 filings
RAUM
$51.2M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$51.2M gross assets
History
13 filings and snapshots on the tape
RAUM$51.2M as of Mar 29, 2019
Feb 25, 2013$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Feb 25, 20130 then
Employees (5.A)1 as of Mar 29, 2019
Feb 25, 20132 then
Private funds5 as of Mar 29, 2019
Feb 25, 20138 then
RAUM -79% over the last fiscal year-49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$10.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-79%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$51.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• P•••••••• I••••••••• L••no longer reportedReal Estate Fund$95.0M2Jan 25, 2012
      A••••••• W•••••••• H••••••• L•••Real Estate Fund$86.7M32Mar 29, 2019
      F••••••••• A••••••••• H••••••• L••no longer reportedReal Estate Fund$51.0M2Jan 25, 2012
      G•••••• B••••••• P••• • L••Real Estate Fund$35.2M2Jan 25, 2012
      P•••• R••• E••••• O••••••••• •••••• L•Real Estate Fund$11.6M25Jan 25, 2012
      G•••••• I••••••••• L••Real Estate Fund$2.7M2Jan 25, 2012
      P•••• R••• E••••• O••••••••• •••••• L•Real Estate Fund$2.7M25Mar 14, 2014
      P•••• I••••••••• H•••••• V••••••• L••Real Estate Fund$2.4M2Jan 16, 2015
      P•••• P••••••••• C•••••••••no longer reportedReal Estate Fund$2.0M2Jan 25, 2012
      G•••• L•••• B••••••• P•••• L••Real Estate Fund$1.0M2Jan 25, 2012
      P•••• R••• E••••• O••••••••• •••••• L•Real Estate Fund$151,28224Jan 25, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• B••••• D••••• · President And Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      • P••••• W••••••• B•••••• · Membercontrol
        since 01/2016 · owns 50% to 75% of P•••• C••••••• L••
      • S•••••• J•••• V••••• · Membercontrol
        since 01/2016 · owns 25% to 50% of M•••••••• E••••••••• L••
      Entity owners
      • P••••••••• L•• · Sole Member And Manager
        direct · owns 75% or more
      • M•••••••• E••••••••• L•• · Member
        indirect · owns 25% to 50% of P••••••••• L••
      • P•••• C••••••• L•• · Member
        indirect · owns 50% to 75% of P••••••••• L••
      Related persons
      Schedule D 7.A
      • A•• I••••••••• H•••••••• L••
        pooled vehicle sponsorn
      • G•••••• B••••••• P•••• L••
        pooled vehicle sponsorn
      • P•••• R••• E••••• I••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 7 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Financial planning clients · 0 to unset
        Mar 30, 2018 to Mar 29, 2019
      • Private funds · 7 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $247M to $51.2M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $247M to $51.2M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $247M to $51.2M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 7.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $378M to $247M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 246983210.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $378M to $247M
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $380M to $378M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $380M to $378M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 8 to 7
        Apr 9, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 1
        Apr 9, 2015 to Mar 30, 2016
      • Employees · 2 to 1
        Apr 9, 2015 to Mar 30, 2016
      • Private funds · 10 to 7
        Apr 9, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $325M to $380M
        Apr 9, 2015 to Mar 30, 2016
      • RAUM · $325M to $380M
        Apr 9, 2015 to Mar 30, 2016
      • Accounts · 9 to 8
        Mar 14, 2014 to Jan 16, 2015
      • Private funds · 9 to 10
        Mar 14, 2014 to Jan 16, 2015
      • Non-discretionary RAUM · $230M to $325M
        Mar 14, 2014 to Jan 16, 2015
      • RAUM · $230M to $325M
        Mar 14, 2014 to Jan 16, 2015
      • Accounts · 8 to 9
        Sep 30, 2013 to Mar 14, 2014
      • Private funds · 8 to 9
        Sep 30, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $150M to $230M
        Sep 30, 2013 to Mar 14, 2014
      • RAUM · $150M to $230M
        Sep 30, 2013 to Mar 14, 2014
      • Accounts · 6 to 8
        Apr 13, 2012 to Feb 25, 2013
      • Advisory employees · unset to 2.0
        Apr 13, 2012 to Feb 25, 2013
      • BD registered reps · unset to 0.0
        Apr 13, 2012 to Feb 25, 2013
      • Employees · unset to 2.0
        Apr 13, 2012 to Feb 25, 2013
      • Financial planning clients · unset to 0
        Apr 13, 2012 to Feb 25, 2013
      • State-registered IARs · unset to 0.0
        Apr 13, 2012 to Feb 25, 2013
      • Non-discretionary RAUM · $200M to $150M
        Apr 13, 2012 to Feb 25, 2013
      • RAUM · $200M to $150M
        Apr 13, 2012 to Feb 25, 2013
      • Accounts · 0 to 6
        Feb 8, 2012 to Apr 13, 2012
      • Non-discretionary RAUM · $0 to $200M
        Feb 8, 2012 to Apr 13, 2012
      • RAUM · $0 to $200M
        Feb 8, 2012 to Apr 13, 2012
      Signals
      2 dated events
      • P•••• R••• E••••• O••••••••• R••• L•• reported RAUM $51.2M, down 79% from $247.0M (2018-03-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • P•••• R••• E••••• O••••••••• R••• L•• reported RAUM $247.0M, down 35% from $378.0M (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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
      Across the graphs

      P•••• R••• E••••• O••••••••• R••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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