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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••••••• I••••••••• M••••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Jul 11, 2012 · 33 filings
SEC status approved since Jul 23, 2012
RAUM
$1.4B
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.4B as of Dec 4, 2025
Sep 24, 2013$475M then
HNW client RAUM$0 as of Dec 4, 2025
Sep 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Dec 4, 2025
Sep 24, 20130 then
Employees (5.A)5 as of Dec 4, 2025
Sep 24, 20133 then
Private funds4 as of Dec 4, 2025
Sep 15, 20153 then
RAUM -50% over the last fiscal year-32% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $238MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 88%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
- -51%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
- portfolio management for businesses and institutions, 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
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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.3B88%
- Pooled investment vehicles$172M12%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.12 institutional_share=0.88 related_bd=false related_bank=false bd_reps=0.0derived
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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P•••••• P••••••••• F••• I• L••• | Other Private Fund | $149M | 32 | Sep 26, 2022 |
| P••••••• G••••• F••• L••no longer reported | Hedge Fund | $62.0M | 2 | Sep 15, 2015 |
| P••••••• G••••• M••••• F••• L••no longer reported | Hedge Fund | $37.3M | 3 | Sep 15, 2015 |
| P••••••• I••••••••• S•••• C•• F•••• L••• | Other Private Fund | $14.1M | 6 | Aug 6, 2021 |
| P••••••• G••••• O••••••••• F•••• L••• | Other Private Fund | $1.8M | 4 | Sep 18, 2024 |
| P••••••• E••••••• M•••••• F•••• L••• | Hedge Fund | $1.7M | 5 | Sep 28, 2020 |
| P••••••• I••••••••• O••••••••• F•••• L••• | Other Private Fund | $1.4M | 3 | Sep 18, 2024 |
| P••••••• G••••• F••• L•no longer reported | Hedge Fund | $1.4M | 1 | Sep 15, 2015 |
| P••••••• C•••• F•••• F•••• L••• | Hedge Fund | $632,469 | 3 | Sep 26, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••• K••••• P••• · President/Portfolio Managercontrolsince 01/2018 · owns less than 5%
- H•••• L••••••• B•••••• · Chief Compliance Officer / Chief Operating Officercontrolsince 09/2014 · owns less than 5%
Entity owners
- P•• U• U••• T•••• · Memberdirect · owns 75% or more
- C•••••• H••• H••••••• P•• L•••••• · Shareholderindirect · owns 50% to 75% of P••••••• I••••••••• M••••••••• P•• L••
- C•••••• H••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• H••• H••••••• P•• L••••••
- P••••••• I••••••••• M••••••••• P•• L•• · Shareholderindirect · owns 75% or more of P•• U• P•• L••
- P•• U• P•• L•• · Trusteeindirect · owns F of P•• U• U••• T••••
Related persons
Schedule D 7.A
- P••••••• G••••• O• G•• L••pooled vehicle sponsory
- P••••••• I•• G•• L••pooled vehicle sponsory
- P••••••• I•• O• G•• L••pooled vehicle sponsory
- P••••••• I••••••••• M••••••••• P•• L••investment advisery
- P••••••• P•••••• I• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 6Dec 4, 2025 to Sep 14, 2026
- Advisory employees · 4 to 2Dec 4, 2025 to Sep 14, 2026
- Pooled vehicle clients · 6 to 4Dec 4, 2025 to Sep 14, 2026
- Employees · 5 to 2Dec 4, 2025 to Sep 14, 2026
- Financial planning clients · to unsetDec 4, 2025 to Sep 14, 2026
- HQ state · to unsetDec 4, 2025 to Sep 14, 2026
- Private funds · 4 to unsetDec 4, 2025 to Sep 14, 2026
- Discretionary RAUM · $1.4B to $1.4BDec 4, 2025 to Sep 14, 2026
- Pension RAUM · $1.1B to $1.3BDec 4, 2025 to Sep 14, 2026
- Pooled vehicle RAUM · $258M to $172MDec 4, 2025 to Sep 14, 2026
- RAUM · $1.4B to $1.4BDec 4, 2025 to Sep 14, 2026
- Succession · false to unsetDec 4, 2025 to Sep 14, 2026
- HQ city · DENVER to SYDNEYSep 19, 2025 to Dec 4, 2025
- HQ state · CO to Sep 19, 2025 to Dec 4, 2025
- Accounts · 10 to 8Jan 31, 2025 to Sep 19, 2025
- Advisory employees · 5 to 4Jan 31, 2025 to Sep 19, 2025
- Employees · 7 to 5Jan 31, 2025 to Sep 19, 2025
- Discretionary RAUM · $1.4B to $1.4BJan 31, 2025 to Sep 19, 2025
- Pension RAUM · $1.0B to $1.1BJan 31, 2025 to Sep 19, 2025
- Pooled vehicle RAUM · $292M to $258MJan 31, 2025 to Sep 19, 2025
- RAUM · $1.4B to $1.4BJan 31, 2025 to Sep 19, 2025
- Employees · 10 to 7Sep 18, 2024 to Jan 31, 2025
- Financial planning clients · unset to Sep 18, 2024 to Jan 31, 2025
- Accounts · 12 to 10Sep 11, 2023 to Sep 18, 2024
- Advisory employees · 9 to 5Sep 11, 2023 to Sep 18, 2024
- Pooled vehicle clients · 8 to 6Sep 11, 2023 to Sep 18, 2024
- Employees · 19 to 10Sep 11, 2023 to Sep 18, 2024
- Other offices · 1 to 0Sep 11, 2023 to Sep 18, 2024
- Discretionary RAUM · $2.9B to $1.4BSep 11, 2023 to Sep 18, 2024
- Pension RAUM · $971M to $1.0BSep 11, 2023 to Sep 18, 2024
- Pooled vehicle RAUM · $1.4B to $292MSep 11, 2023 to Sep 18, 2024
- RAUM · $2.9B to $1.4BSep 11, 2023 to Sep 18, 2024
- Accounts · 14 to 12Sep 30, 2022 to Sep 11, 2023
- Advisory employees · 10 to 9Sep 30, 2022 to Sep 11, 2023
- Pension plan clients · 3 to 2Sep 30, 2022 to Sep 11, 2023
- Pooled vehicle clients · 9 to 8Sep 30, 2022 to Sep 11, 2023
- Custody of client assets · true to falseSep 30, 2022 to Sep 11, 2023
- Employees · 20 to 19Sep 30, 2022 to Sep 11, 2023
- Discretionary RAUM · $2.8B to $2.9BSep 30, 2022 to Sep 11, 2023
- Pension RAUM · $1.0B to $971MSep 30, 2022 to Sep 11, 2023
Signals
7 dated events
- P••••••• I••••••••• M••••••••• L•• reported RAUM $1.4B, down 51% from $2.9B (2023-09-11 to 2024-09-18)Sep 18, 2024 · RAUM change · derived
- P••••••• I••••••••• M••••••••• L•• reported RAUM $2.8B, down 40% from $4.6B (2022-01-14 to 2022-09-26)Sep 26, 2022 · RAUM change · derived
- David St John Angus Paradice (Director) no longer on Schedule A of P••••••• I••••••••• M••••••••• L•• (listed 2021-08-06, absent 2022-01-14)Jan 14, 2022 · Control person left · inference
- P••••••• I••••••••• M••••••••• L•• reported RAUM $4.6B, up 44% from $3.2B (2021-06-01 to 2021-08-06)Aug 6, 2021 · RAUM change · derived
- Lucinda Hill (Chief Compliance Officer / Chief Operating Officer) no longer on Schedule A of P••••••• I••••••••• M••••••••• L•• (listed 2019-05-16, absent 2019-07-31)Jul 31, 2019 · Control person left · inference
- P••••••• I••••••••• M••••••••• L•• reported RAUM $3.7B, up 30% from $2.8B (2017-09-27 to 2018-09-28)Sep 28, 2018 · RAUM change · derived
- P••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 11, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 720-751-2100reportedpublic record, Form ADV, Sep 14, 2026
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
- Institutional managerderiveda 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