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

A••• I••••••••• P•••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 161073SEC 801-73868IAPD
Latest filing Jun 30, 2015
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$46.7M
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$47.0M gross assets
History
7 filings and snapshots on the tape
RAUM$47.0M as of Mar 30, 2015
Mar 28, 2013$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)11 as of Mar 30, 2015
Mar 28, 20139 then
Private funds2 as of Mar 30, 2015
Mar 28, 20132 then
RAUM -70% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2015; 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
$9.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-69%derivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• J•••• R••••••• M••••• F••••• F••• I•• L•••Real Estate Fund$44.3M44Feb 14, 2012
      A•• J•••• M••••• F••••• F••• V• L•••Real Estate Fund$2.7M13Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• C••••• · Chief Compliance Officercontrol
        since 08/2014 · owns less than 5%
      • H••••••••• A••••• B•••• · President, Ceocontrol
        since 08/1999 · owns less than 5%
      • M••••• L••••• A• · Chairmancontrol
        since 01/2001 · owns less than 5%
      • H••••••••• B••••• A•••• · Trusteecontrol
        since 01/2002 · owns 75% or more of A•• F•••••••• T••••
      • M••••• L••••• A• · Chairmancontrol
        since 02/1987 · owns 75% or more of L•• F•••••••• H••••••• L•• L•••
      • P••••• J••••• S••••• · Ownercontrol
        since 10/2009 · owns 75% or more of J••• Equity Fund I, LP
      Entity owners
      • A•• F•••••••• T•••• · Shareholder
        direct · owns 25% to 50%
      • J••• E••••• F••• I• L• · Shareholder
        direct · owns 25% to 50%
      • L•• F•••••••• H••••••• L•• L••• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • J•••• P••••••• V• L••
        pooled vehicle sponsory
      • J•••• R••••••• P••••••• I•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Tokyo, Japan
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $47.0M to $46.7M
        Mar 30, 2015 to Jun 30, 2015
      • RAUM · $47.0M to $46.7M
        Mar 30, 2015 to Jun 30, 2015
      • Advisory employees · 3 to 4
        Sep 9, 2014 to Mar 30, 2015
      • Employees · 9 to 11
        Sep 9, 2014 to Mar 30, 2015
      • Discretionary RAUM · $153M to $47.0M
        Sep 9, 2014 to Mar 30, 2015
      • RAUM · $153M to $47.0M
        Sep 9, 2014 to Mar 30, 2015
      • Discretionary RAUM · $180M to $153M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $180M to $153M
        Mar 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 3.0
        Jun 27, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Jun 27, 2012 to Mar 28, 2013
      • Assets in custody · $59.6M to $0
        Jun 27, 2012 to Mar 28, 2013
      • Employees · unset to 9.0
        Jun 27, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jun 27, 2012 to Mar 28, 2013
      • Discretionary RAUM · $162M to $180M
        Jun 27, 2012 to Mar 28, 2013
      • RAUM · $162M to $180M
        Jun 27, 2012 to Mar 28, 2013
      • Business name · A••• I••••••••• P•••••••• I•• to A••• I••••••••• P•••••••• I•••
        Feb 14, 2012 to Jun 27, 2012
      • Legal name · A••• I••••••••• P•••••••• I•• to A••• I••••••••• P•••••••• I•••
        Feb 14, 2012 to Jun 27, 2012
      • Discretionary RAUM · $80.3M to $162M
        Feb 14, 2012 to Jun 27, 2012
      • RAUM · $80.3M to $162M
        Feb 14, 2012 to Jun 27, 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
      Across the graphs

      A••• I••••••••• P•••••••• I••• 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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