DFX Intelligence
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Former SEC-registered adviser
B••• T•• E••••• M••••••••• L••
Latest filing Apr 6, 2015
First filing on the tape Feb 28, 2012 · 8 filings
RAUM
$71.0M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$127M gross assets
History
8 filings and snapshots on the tape
RAUM$71.0M as of Apr 2, 2015
Apr 1, 2013$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2015
Apr 1, 20130 then
Employees (5.A)3 as of Apr 2, 2015
Apr 1, 20133 then
Private funds1 as of Apr 2, 2015
Apr 1, 20131 then
Practice profile
derived from the filing of Apr 6, 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
- $71.0MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $71.0M, 1 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.0M for 1 clientsreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• T•• E••••• P••••••• F••• I• L••• | Private Equity Fund | $127M | 18 | Feb 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• R•••••• · Chief Compliance Officer, Manager And Membercontrolsince 07/2005 · owns 25% to 50%
- T•••••• B•••• · Manager And Membercontrolsince 07/2005 · owns 10% to 25%
- P•••••• H•••• · Membercontrolsince 02/2012 · owns 25% to 50% of H•• 2••• L••
- P•••••• J•••• · Membercontrolsince 02/2012 · owns 25% to 50% of H•• 2••• L••
- P•••••• P••• · Membercontrolsince 02/2012 · owns 25% to 50% of H•• 2••• L••
- W•••••• T•••••• D• · Limited Partnercontrolsince 11/1993 · owns 50% to 75% of R•••••• C•••••• P••••••• L•
- W•••••• T•••••• D• · Membercontrolsince 11/1993 · owns 50% to 75% of R•••••• C•••••• L••
- B••••• G•••••• · Membersince 07/2005 · owns 10% to 25%
- W•••••• M••• · Membersince 07/2005 · owns 10% to 25%
Entity owners
- H•• 2••• L•• · Partnerindirect · owns 75% or more of H•••••••• P•••••••
- R•••••• C•••••• L•• · General Partnerindirect · owns F of R•••••• C•••••• P••••••• L•
- R•••••• C•••••• P••••••• L• · Partnerindirect · owns 25% to 50% of H•••••••• P•••••••
- H•••••••• P••••••• · Memberdirect · owns less than 5%
- P••••••••• •••••••• I••• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- B••• B••••••insurancen
Offices
Schedule D 1.F, the 25 largest
- Lakewoood, CO
- ,
What changed
consecutive filings, newest first
- Assets in custody · $90.0M to $71.0MMar 21, 2014 to Apr 2, 2015
- Discretionary RAUM · $90.0M to $71.0MMar 21, 2014 to Apr 2, 2015
- RAUM · $90.0M to $71.0MMar 21, 2014 to Apr 2, 2015
- Assets in custody · $127M to $90.0MApr 1, 2013 to Mar 21, 2014
- Discretionary RAUM · $127M to $90.0MApr 1, 2013 to Mar 21, 2014
- RAUM · $127M to $90.0MApr 1, 2013 to Mar 21, 2014
- Advisory employees · unset to 2.0May 7, 2012 to Apr 1, 2013
- BD registered reps · unset to 0.0May 7, 2012 to Apr 1, 2013
- Assets in custody · $76.8M to $127MMay 7, 2012 to Apr 1, 2013
- Employees · unset to 3.0May 7, 2012 to Apr 1, 2013
- Financial planning clients · unset to 0May 7, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0May 7, 2012 to Apr 1, 2013
- Discretionary RAUM · $146M to $127MMay 7, 2012 to Apr 1, 2013
- RAUM · $146M to $127MMay 7, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B••• T•• E••••• M••••••••• L•• · Private Equityshared crd · organization
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