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

Metis, L.L.C.

Former SEC-registered adviserLittleton, ColoradoCRD 161075SEC 801-74286IAPD
Latest filing Mar 30, 2015
First filing on the tape Feb 16, 2012 · 6 filings
RAUM
$20.6M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$20.6M as of Mar 30, 2015
Mar 18, 2013$78.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2015
Mar 18, 20131 then
Employees (5.A)8 as of Mar 30, 2015
Mar 18, 20131 then
Private funds: no history
RAUM -70% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Mar 30, 2015; every figure names its basis
RAUM per advisor
$6.9MderivedRAUM 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
$141,777derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-70%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
145reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • Alan Gregory Wambolt · Chief Compliance Officercontrol
      since 04/2014 · owns less than 5%
    • Bruce David Auer · Shareholdercontrol
      since 03/2014 · owns 25% to 50% of Trilogy Advisor Network Inc.
    • Alan Gregory Wambolt · Shareholdercontrol
      since 03/2014 · owns 25% to 50% of Trilogy Advisor Network Inc.
    Entity owners
    • Trilogy Financial Group, Inc. · Managing Member
      direct · owns 75% or more
    • Trilogy Advisor Network Inc. · Owner
      indirect · owns 75% or more of Trilogy Financial Group, Inc.
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Charlestown, Saint Kitts and Nevis
    • Tulsa, OK
    What changed
    consecutive filings, newest first
    • Accounts · 110 to 145
      Nov 10, 2014 to Mar 30, 2015
    • Advisory employees · 4 to 3
      Nov 10, 2014 to Mar 30, 2015
    • Employees · 7 to 8
      Nov 10, 2014 to Mar 30, 2015
    • Financial planning clients · 101-250 to 0
      Nov 10, 2014 to Mar 30, 2015
    • State-registered IARs · 4 to 3
      Nov 10, 2014 to Mar 30, 2015
    • Discretionary RAUM · $68.7M to $20.6M
      Nov 10, 2014 to Mar 30, 2015
    • RAUM · $68.7M to $20.6M
      Nov 10, 2014 to Mar 30, 2015
    • Related insurance company · true to false
      Nov 10, 2014 to Mar 30, 2015
    • Succession · true to false
      Apr 30, 2014 to Nov 10, 2014
    • Advisory employees · 1 to 4
      Mar 25, 2014 to Apr 30, 2014
    • Employees · 1 to 7
      Mar 25, 2014 to Apr 30, 2014
    • Insurance-licensed employees · 0 to 3
      Mar 25, 2014 to Apr 30, 2014
    • HQ city · CHARLESTOWN to LITTLETON
      Mar 25, 2014 to Apr 30, 2014
    • HQ state · unset to CO
      Mar 25, 2014 to Apr 30, 2014
    • State-registered IARs · 1 to 4
      Mar 25, 2014 to Apr 30, 2014
    • Related adviser · false to true
      Mar 25, 2014 to Apr 30, 2014
    • Related insurance company · false to true
      Mar 25, 2014 to Apr 30, 2014
    • Succession · false to true
      Mar 25, 2014 to Apr 30, 2014
    • Accounts · 135 to 110
      Mar 18, 2013 to Mar 25, 2014
    • Discretionary RAUM · $73.6M to $68.7M
      Mar 18, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $5.0M to $0
      Mar 18, 2013 to Mar 25, 2014
    • RAUM · $78.6M to $68.7M
      Mar 18, 2013 to Mar 25, 2014
    • Accounts · 0 to 135
      Feb 16, 2012 to Mar 18, 2013
    • Advisory employees · unset to 1.0
      Feb 16, 2012 to Mar 18, 2013
    • Advisory activities · 2 to 3
      Feb 16, 2012 to Mar 18, 2013
    • BD registered reps · unset to 0.0
      Feb 16, 2012 to Mar 18, 2013
    • Employees · unset to 1.0
      Feb 16, 2012 to Mar 18, 2013
    • Financial planning clients · 0 to 101-250
      Feb 16, 2012 to Mar 18, 2013
    • State-registered IARs · unset to 1.0
      Feb 16, 2012 to Mar 18, 2013
    • Discretionary RAUM · $0 to $73.6M
      Feb 16, 2012 to Mar 18, 2013
    • Non-discretionary RAUM · $0 to $5.0M
      Feb 16, 2012 to Mar 18, 2013
    • RAUM · $0 to $78.6M
      Feb 16, 2012 to Mar 18, 2013
    Signals
    1 dated events
    • Metis, L.L.C. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Apr 30, 2014 · Succession (Item 4) · 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