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

W•••••••• A•••••••• L••

Former SEC-registered adviserGolden, ColoradoCRD 163814SEC 801-76574IAPD
Latest filing Mar 31, 2019
First filing on the tape Apr 16, 2012 · 11 filings
RAUM
$66.5M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$66.5M as of Mar 31, 2019
Mar 31, 2017$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Mar 27, 20130 then
Employees (5.A)5 as of Mar 31, 2019
Mar 27, 20132 then
Private funds: no history
RAUM -42% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$66.5MderivedRAUM 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
-42%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-basedreportedItem 5.E
Advisory activities
otherreportedItem 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
  • Investment companies$66.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    7 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    F••••••• B••••••• F•••Hedge Fund$5.5M440Jun 16, 2019
    F••••••• H••••••• F•••Hedge Fund$1.8M98Jun 16, 2019
    F••••••• D••••••••• F•••Hedge Fund$1.5M97Jun 16, 2019
    F••••••• G••••• F••••••• W••••• F•••Hedge Fund$1.3M73Jun 16, 2019
    F••••••• S••••• F•••Hedge Fund$816,539153Jun 16, 2019
    F••••••• L••••••••• C•••••••• F•••Hedge Fund$746,822101Jun 16, 2019
    F••••••• M•••••• F•••Hedge Fund$377,03743Jun 16, 2019
    Owners and control persons
    Schedule A and B, latest filing
    • H•••• P••••••• F•••••• · Chief Compliance Officercontrol
      since 03/2012 · owns less than 5%
    • K•••• P••••••• J••• · Managing Membercontrol
      since 03/2012 · owns 50% to 75%
    • H•••• P••••••• F•••••• · Managing Membercontrol
      since 03/2012 · owns 75% or more of W•••••••• H•••••••• L••
    Entity owners
    • W•••••••• H•••••••• L•• · Managing Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • H••• F•••••••• G••••• L••
      bankn
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $115M to $66.5M
      Mar 31, 2018 to Mar 31, 2019
    • RAUM · $115M to $66.5M
      Mar 31, 2018 to Mar 31, 2019
    • Accounts · 8 to 1
      Mar 31, 2017 to Mar 31, 2018
    • Advisory activities · 2 to 1
      Mar 31, 2017 to Mar 31, 2018
    • BD registered reps · 3 to 2
      Mar 31, 2017 to Mar 31, 2018
    • Employees · 6 to 5
      Mar 31, 2017 to Mar 31, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Mar 31, 2018
    • Discretionary RAUM · $222M to $115M
      Mar 31, 2017 to Mar 31, 2018
    • RAUM · $222M to $115M
      Mar 31, 2017 to Mar 31, 2018
    • Accounts · 1 to 8
      Dec 22, 2016 to Mar 31, 2017
    • Advisory activities · 1 to 2
      Dec 22, 2016 to Mar 31, 2017
    • BD registered reps · 2 to 3
      Dec 22, 2016 to Mar 31, 2017
    • Employees · 4 to 6
      Dec 22, 2016 to Mar 31, 2017
    • Discretionary RAUM · $17.6M to $222M
      Dec 22, 2016 to Mar 31, 2017
    • RAUM · $17.6M to $222M
      Dec 22, 2016 to Mar 31, 2017
    • Related insurance company · true to false
      Dec 22, 2016 to Mar 31, 2017
    • HQ city · DENVER to GOLDEN
      Aug 31, 2016 to Dec 22, 2016
    • Accounts · unset to 1.0
      Mar 31, 2016 to Aug 31, 2016
    • Advisory employees · 2 to 3
      Mar 31, 2016 to Aug 31, 2016
    • Employees · 2 to 4
      Mar 31, 2016 to Aug 31, 2016
    • Discretionary RAUM · unset to 17629896.0
      Mar 31, 2016 to Aug 31, 2016
    • Non-discretionary RAUM · unset to 0.0
      Mar 31, 2016 to Aug 31, 2016
    • RAUM · unset to 17629896.0
      Mar 31, 2016 to Aug 31, 2016
    • Related insurance company · false to true
      Mar 31, 2016 to Aug 31, 2016
    • BD registered reps · 1 to 2
      May 4, 2015 to Mar 31, 2016
    • Accounts · 0.0 to unset
      May 16, 2012 to Mar 27, 2013
    • Advisory employees · unset to 2.0
      May 16, 2012 to Mar 27, 2013
    • BD registered reps · unset to 1.0
      May 16, 2012 to Mar 27, 2013
    • Employees · unset to 2.0
      May 16, 2012 to Mar 27, 2013
    • State-registered IARs · unset to 0.0
      May 16, 2012 to Mar 27, 2013
    • Discretionary RAUM · 0.0 to unset
      May 16, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · 0.0 to unset
      May 16, 2012 to Mar 27, 2013
    • RAUM · 0.0 to unset
      May 16, 2012 to Mar 27, 2013
    Signals
    1 dated events
    • W•••••••• A•••••••• L•• reported RAUM $114.8M, down 48% from $221.6M (2017-03-31 to 2018-03-31)
      Mar 31, 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