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

P•••••• A•••• M••••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 166257SEC 801-77407IAPD
Latest filing Apr 29, 2022
First filing on the tape Nov 20, 2012 · 21 filings
RAUM
$490M
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
25
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$469M gross assets
History
21 filings and snapshots on the tape
RAUM$490M as of Mar 29, 2022
Mar 28, 2014$548M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20140 then
Employees (5.A)25 as of Mar 29, 2022
Mar 28, 201415 then
Private funds6 as of Mar 29, 2022
Mar 28, 20144 then
RAUM -40% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2022; 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
$44.5MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-40%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$469M, 9 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$469M96%
  • Corporations and businesses$21.0M4.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$469M for 9 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• M•• O••••••••• F••• I••• L•••Other Private Fund$6.4M45May 1, 2013
      P•••••• M•• O••••••••• F••• I•• •••• L•••Other Private Fund$1.0M14May 1, 2013
      P•••••• M•• O••••••••• F••• I••• L•••Other Private Fund$332,36045May 1, 2013
      P•••••• M•• O••••••••• F••• I•• •••• L•••Other Private Fund$63,13714May 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• R•••••• M• •• O•••• · Chief Compliance Officer And General Counselcontrol
        since 09/2013 · owns less than 5%
      • L••• M••••••• P••• · Chief Executive Officer And M••••••control
        since 11/2012 · owns less than 5%
      • W••••••• T•••• R•••••• · Chief Financial Officercontrol
        since 12/2012 · owns less than 5%
      • E••••• D•••• · Shareholdercontrol
        since 12/2020 · owns 75% or more of M•••• I••••••••• H•••••••• I•••
      Entity owners
      • P•••••• H•••••••• L••• · Member
        direct · owns 75% or more
      • B•••••• A•••• M••••••••• H•••••••• L•• · Member
        indirect · owns 75% or more of B•••••• A•••• M••••••••• L••
      • B•••••• A•••• M••••••••• L•• · Limited Partner
        indirect · owns 75% or more of P•••••• H•••••••• L•••
      • B•••••• A•••• M••••••••• L•• · Member
        indirect · owns 75% or more of P••• G•• L••
      • M•••• I••••••••• H•••••••• I••• · Member
        indirect · owns 75% or more of B•••••• A•••• M••••••••• H•••••••• L••
      • P••• G•• L•• · General Partner
        indirect · owns F of P•••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      • B•••••• A•••• M••••••••• L••
        investment adviserbankyRAUM $64B
      • B•••••• C•••••• G• I••• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• C•••••• G• I••• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• C•••••• G• M••• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• C•••••• G• V• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• C•••••• G• V•• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• C•••••• G• V••• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• F••• M••••••••• L••
        investment adviserbankn
      • B•••••• L••••• C••••• S••••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • B•••••• M••••••• S••••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • I•••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • K•••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • M••••••• F••• G• I••• L••
        investment adviserbankpooled vehicle sponsorn
      • N•• F••• I• G• L••
        pooled vehicle sponsory
      • O•••••••• A•••• M••••••••• L••
        investment advisern
      • O•••••••• L••• A•• A•••••• C••••••
        real estaten
      • O•••••••• R••••••••• L•••
        real estaten
      • P•••••• M•• J• I• G•• L••
        pooled vehicle sponsory
      • S•••••• S•••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Advisers that list P•••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $664M to $469M
        Apr 27, 2021 to Mar 29, 2022
      • Discretionary RAUM · $814M to $490M
        Apr 27, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $664M to $469M
        Apr 27, 2021 to Mar 29, 2022
      • RAUM · $814M to $490M
        Apr 27, 2021 to Mar 29, 2022
      • Advisory employees · 25 to 24
        May 19, 2020 to Mar 30, 2021
      • Assets in custody · $1.1B to $664M
        May 19, 2020 to Mar 30, 2021
      • Employees · 26 to 25
        May 19, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.6B to $814M
        May 19, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.1B to $664M
        May 19, 2020 to Mar 30, 2021
      • RAUM · $1.6B to $814M
        May 19, 2020 to Mar 30, 2021
      • Assets in custody · $1.1B to $1.1B
        Mar 30, 2020 to May 19, 2020
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 30, 2020 to May 19, 2020
      • Pooled vehicle RAUM · $1.1B to $1.1B
        Mar 30, 2020 to May 19, 2020
      • RAUM · $1.6B to $1.6B
        Mar 30, 2020 to May 19, 2020
      • Advisory employees · 23 to 25
        May 16, 2019 to Mar 30, 2020
      • Assets in custody · $1.1B to $1.1B
        May 16, 2019 to Mar 30, 2020
      • Employees · 24 to 26
        May 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.9B to $1.6B
        May 16, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.3B to $1.1B
        May 16, 2019 to Mar 30, 2020
      • RAUM · $1.9B to $1.6B
        May 16, 2019 to Mar 30, 2020
      • Assets in custody · $1.1B to $1.1B
        Mar 27, 2019 to May 16, 2019
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 27, 2019 to May 16, 2019
      • Pooled vehicle RAUM · $1.3B to $1.3B
        Mar 27, 2019 to May 16, 2019
      • RAUM · $1.9B to $1.9B
        Mar 27, 2019 to May 16, 2019
      • Advisory employees · 30 to 23
        May 8, 2018 to Mar 27, 2019
      • Assets in custody · $745M to $1.1B
        May 8, 2018 to Mar 27, 2019
      • Employees · 31 to 24
        May 8, 2018 to Mar 27, 2019
      • Other offices · 1 to 0
        May 8, 2018 to Mar 27, 2019
      • Discretionary RAUM · $1.6B to $1.9B
        May 8, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $974M to $1.3B
        May 8, 2018 to Mar 27, 2019
      • RAUM · $1.6B to $1.9B
        May 8, 2018 to Mar 27, 2019
      • Assets in custody · $745M to $745M
        Mar 21, 2018 to May 8, 2018
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 21, 2018 to May 8, 2018
      • Pooled vehicle RAUM · $974M to $974M
        Mar 21, 2018 to May 8, 2018
      • RAUM · $1.6B to $1.6B
        Mar 21, 2018 to May 8, 2018
      • Accounts · 6 to 11
        Sep 29, 2017 to Mar 21, 2018
      • Advisory employees · 31 to 30
        Sep 29, 2017 to Mar 21, 2018
      • Advisory activities · 1 to 2
        Sep 29, 2017 to Mar 21, 2018
      • Corporate clients · unset to 2.0
        Sep 29, 2017 to Mar 21, 2018
      • Pooled vehicle clients · unset to 9.0
        Sep 29, 2017 to Mar 21, 2018
      Signals
      4 dated events
      • P•••••• A•••• M••••••••• L•• reported RAUM $490.0M, down 40% from $814.3M (2021-04-27 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • P•••••• A•••• M••••••••• L•• reported RAUM $814.3M, down 49% from $1.6B (2020-05-19 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • P•••••• A•••• M••••••••• L•• reported RAUM $1.6B, up 59% from $1.0B (2017-09-29 to 2018-03-21)
        Mar 21, 2018 · RAUM change · derived
      • M•• F••• M••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 20, 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