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.

Former SEC-registered adviser

C•••••••• A••••••• N••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 165106SEC 801-77016IAPD
Latest filing Sep 2, 2020
First filing on the tape Aug 2, 2012 · 26 filings
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$204M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$218M as of Mar 6, 2020
Mar 21, 2013$100M then
HNW client RAUM$168M as of Mar 6, 2020
Feb 22, 2018$130M then
State-registered IARs (5.B.3)2 as of Mar 6, 2020
Mar 21, 20133 then
Employees (5.A)4 as of Mar 6, 2020
Mar 21, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Sep 2, 2020; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$430,468derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • High-net-worth individuals$168M77%
  • Individuals$35.8M16%
  • Corporations and businesses$11.8M5.4%
  • Charitable organizations$2.0M0.9%
Individual clients
143reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
506reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
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
    • D•••••• B••••••• J••• · Chief Compliance Officercontrol
      since 03/2015 · owns less than 5%
    • A••••• G•••••• · Chairman And Ceocontrol
      since 06/2002 · owns F of A••• L••
    • E••••• T•••••• J•• · Sole Shareholdercontrol
      since 04/2020 · owns 75% or more of B•••••• C••••••••• I•••
    • H••••••• S••••• · Managing Partnercontrol
      since 01/2015 · owns F of A••• L••
    • L•••• M••••• J••• · Sole Shareholdercontrol
      since 04/2020 · owns 75% or more of M•• C••••••••• I•••
    Entity owners
    • A••• L•• · Member
      direct · owns 50% to 75%
    • B•••••• C••••••••• I••• · Member
      direct · owns 25% to 50%
    • M•• C••••••••• I••• · Member
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • A•• L••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 530 to 506
      Feb 28, 2019 to Mar 6, 2020
    • HNW clients · 60 to 44
      Feb 28, 2019 to Mar 6, 2020
    • Individual clients · 167 to 143
      Feb 28, 2019 to Mar 6, 2020
    • State-registered IARs · 3 to 2
      Feb 28, 2019 to Mar 6, 2020
    • Discretionary RAUM · $186M to $217M
      Feb 28, 2019 to Mar 6, 2020
    • HNW RAUM · $91.6M to $168M
      Feb 28, 2019 to Mar 6, 2020
    • Individual RAUM · $80.5M to $35.8M
      Feb 28, 2019 to Mar 6, 2020
    • Non-discretionary RAUM · $0 to $782,125
      Feb 28, 2019 to Mar 6, 2020
    • RAUM · $186M to $218M
      Feb 28, 2019 to Mar 6, 2020
    • Accounts · 454 to 530
      Aug 30, 2018 to Jan 28, 2019
    • Advisory activities · 4 to 3
      Aug 30, 2018 to Jan 28, 2019
    • Corporate clients · unset to 11.0
      Aug 30, 2018 to Jan 28, 2019
    • HNW clients · 130 to 60
      Aug 30, 2018 to Jan 28, 2019
    • Individual clients · 183 to 167
      Aug 30, 2018 to Jan 28, 2019
    • Insurance-licensed employees · 1 to 0
      Aug 30, 2018 to Jan 28, 2019
    • Discretionary RAUM · $185M to $186M
      Aug 30, 2018 to Jan 28, 2019
    • HNW RAUM · $130M to $91.6M
      Aug 30, 2018 to Jan 28, 2019
    • Individual RAUM · $50.4M to $80.5M
      Aug 30, 2018 to Jan 28, 2019
    • RAUM · $185M to $186M
      Aug 30, 2018 to Jan 28, 2019
    • Related insurance company · false to true
      Aug 30, 2018 to Jan 28, 2019
    • Accounts · 490 to 454
      Jan 27, 2017 to Feb 22, 2018
    • HNW clients · unset to 130.0
      Jan 27, 2017 to Feb 22, 2018
    • Individual clients · unset to 183.0
      Jan 27, 2017 to Feb 22, 2018
    • State-registered IARs · 2 to 3
      Jan 27, 2017 to Feb 22, 2018
    • Other offices · unset to 0.0
      Jan 27, 2017 to Feb 22, 2018
    • Discretionary RAUM · $149M to $185M
      Jan 27, 2017 to Feb 22, 2018
    • HNW RAUM · unset to 130459369.0
      Jan 27, 2017 to Feb 22, 2018
    • Individual RAUM · unset to 50400516.0
      Jan 27, 2017 to Feb 22, 2018
    • RAUM · $149M to $185M
      Jan 27, 2017 to Feb 22, 2018
    • Accounts · 480 to 490
      Mar 1, 2016 to Jan 27, 2017
    • Insurance-licensed employees · 0 to 1
      Mar 1, 2016 to Jan 27, 2017
    • State-registered IARs · 3 to 2
      Mar 1, 2016 to Jan 27, 2017
    • Discretionary RAUM · $143M to $149M
      Mar 1, 2016 to Jan 27, 2017
    • RAUM · $143M to $149M
      Mar 1, 2016 to Jan 27, 2017
    • Accounts · 462 to 480
      Mar 17, 2015 to Mar 1, 2016
    • Advisory employees · 4 to 2
      Mar 17, 2015 to Mar 1, 2016
    • Insurance-licensed employees · 3 to 0
      Mar 17, 2015 to Mar 1, 2016
    • Financial planning clients · 1-10 to 0
      Mar 17, 2015 to Mar 1, 2016
    • Discretionary RAUM · $125M to $143M
      Mar 17, 2015 to Mar 1, 2016
    • RAUM · $125M to $143M
      Mar 17, 2015 to Mar 1, 2016
    Signals
    3 dated events
    • S••••• H•••••• (Managing Partner) appeared on Schedule A of C•••••••• A••••••• N••••••• L••
      Jan 28, 2019 · Control person joined · fact
    • G•••••• A•••• (Chairman And Ceo) appeared on Schedule A of C•••••••• A••••••• N••••••• L••
      Jan 28, 2019 · Control person joined · fact
    • S••••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Aug 2, 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.
    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