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

I•• C•••••• A•••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 169587SEC 801-78785IAPD
Latest filing Nov 19, 2014
First filing on the tape Nov 4, 2013 · 11 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
47%
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
19
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.1B as of Nov 19, 2014
Jan 17, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Nov 19, 2014
Nov 4, 20130 then
Employees (5.A)19 as of Nov 19, 2014
Nov 4, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 19, 2014; every figure names its basis
RAUM per advisor
$92.0MderivedRAUM 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
$319,623derivedRAUM over accounts (5.F.2.f)
Discretionary
47%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
3.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
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
3,454reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • H••••••• C••••••• E••••• · Member & Chief Compliance Officercontrol
      since 01/2014 · owns 50% to 75%
    • K••••• T••••••• B•••••• · Membercontrol
      since 01/2014 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Fort Collins, CO
    • Greenwood Village, CO
    • Sioux Falls, SD
    What changed
    consecutive filings, newest first
    • Accounts · 2,636 to 3,454
      Mar 28, 2014 to Nov 5, 2014
    • Advisory activities · 4 to 5
      Mar 28, 2014 to Nov 5, 2014
    • Financial planning clients · 0 to 251-500
      Mar 28, 2014 to Nov 5, 2014
    • Discretionary RAUM · $395M to $514M
      Mar 28, 2014 to Nov 5, 2014
    • Non-discretionary RAUM · $59.0M to $590M
      Mar 28, 2014 to Nov 5, 2014
    • RAUM · $454M to $1.1B
      Mar 28, 2014 to Nov 5, 2014
    • Accounts · 0 to 2,636
      Mar 10, 2014 to Mar 28, 2014
    • Discretionary RAUM · $0 to $395M
      Mar 10, 2014 to Mar 28, 2014
    • Non-discretionary RAUM · $0 to $59.0M
      Mar 10, 2014 to Mar 28, 2014
    • RAUM · $0 to $454M
      Mar 10, 2014 to Mar 28, 2014
    • Accounts · unset to 0.0
      Nov 8, 2013 to Jan 17, 2014
    • Advisory employees · 0 to 12
      Nov 8, 2013 to Jan 17, 2014
    • Advisory activities · 1 to 4
      Nov 8, 2013 to Jan 17, 2014
    • BD registered reps · 1 to 2
      Nov 8, 2013 to Jan 17, 2014
    • Employees · 1 to 19
      Nov 8, 2013 to Jan 17, 2014
    • Insurance-licensed employees · 1 to 0
      Nov 8, 2013 to Jan 17, 2014
    • Financial planning clients · unset to 0
      Nov 8, 2013 to Jan 17, 2014
    • HQ city · ALBANY to GREENWOOD VILLAGE
      Nov 8, 2013 to Jan 17, 2014
    • HQ state · NY to CO
      Nov 8, 2013 to Jan 17, 2014
    • State-registered IARs · 0 to 12
      Nov 8, 2013 to Jan 17, 2014
    • Discretionary RAUM · unset to 0.0
      Nov 8, 2013 to Jan 17, 2014
    • Non-discretionary RAUM · unset to 0.0
      Nov 8, 2013 to Jan 17, 2014
    • RAUM · unset to 0.0
      Nov 8, 2013 to Jan 17, 2014
    • Related adviser · true to false
      Nov 8, 2013 to Jan 17, 2014
    • Related broker-dealer · true to false
      Nov 8, 2013 to Jan 17, 2014
    • Succession · false to true
      Jan 17, 2014 to Jan 17, 2014
    • Business name · A••••• A•••••••• L•• to I•• C•••••• A•••••••• L••
      Jan 17, 2014 to Jan 17, 2014
    • Legal name · A••••• A•••••••• L•• to I•• C•••••• A•••••••• L••
      Jan 17, 2014 to Jan 17, 2014
    • Succession · true to false
      Jan 17, 2014 to Jan 17, 2014
    Signals
    2 dated events
    • A••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 17, 2014 · Succession (Item 4) · fact
    • A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 4, 2013 · 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