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

1•• C••••••• A••••••• G•••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 169633SEC 801-78825IAPD
Latest filing Jan 12, 2016
First filing on the tape Nov 13, 2013 · 23 filings
RAUM
$1.3M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Apr 14, 2015
Mar 28, 20146 then
Employees (5.A)4 as of Apr 14, 2015
Mar 28, 20146 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 3
Practice profile
derived from the filing of Jan 12, 2016; every figure names its basis
RAUM per advisor
$418,161derivedRAUM 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
$96,499derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
13reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
    • N•••••• W••••• W•••••• · Chief Compliance Officercontrol
      since 11/2013 · owns less than 5%
    • S•••••••• C••••• A••••• · Chief Executive Officercontrol
      since 04/2014 · owns less than 5%
    • N•••••• W••••• W•••••• · Membercontrol
      since 10/2013 · owns 25% to 50% of F•••• C••••••• Financial S••••••••, LLC
    • P•••••••• K•••••••• S•••••• · Managing Membercontrol
      since 10/2013 · owns 25% to 50% of F•••• C••••••• Financial S••••••••, LLC
    • S•••••••• C••••• A••••• · Membercontrol
      since 10/2013 · owns 25% to 50% of F•••• C••••••• Financial S••••••••, LLC
    Entity owners
    • F•••• C••••••• F•••••••• S••••••••• I••• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • 1•• C••••••• I•••••••• A••••• I••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 13.0
      Jul 23, 2015 to Oct 30, 2015
    • Advisory employees · 4 to 3
      Jul 23, 2015 to Oct 30, 2015
    • BD registered reps · 4 to 0
      Jul 23, 2015 to Oct 30, 2015
    • Employees · 4 to 3
      Jul 23, 2015 to Oct 30, 2015
    • State-registered IARs · 4 to 3
      Jul 23, 2015 to Oct 30, 2015
    • Discretionary RAUM · unset to 1254482.0
      Jul 23, 2015 to Oct 30, 2015
    • Non-discretionary RAUM · unset to 0.0
      Jul 23, 2015 to Oct 30, 2015
    • RAUM · unset to 1254482.0
      Jul 23, 2015 to Oct 30, 2015
    • Accounts · 0.0 to unset
      Jan 30, 2015 to Apr 14, 2015
    • Advisory employees · 6 to 4
      Jan 30, 2015 to Apr 14, 2015
    • Advisory activities · 4 to 6
      Jan 30, 2015 to Apr 14, 2015
    • BD registered reps · 6 to 4
      Jan 30, 2015 to Apr 14, 2015
    • Employees · 6 to 4
      Jan 30, 2015 to Apr 14, 2015
    • Financial planning clients · 0 to 11-25
      Jan 30, 2015 to Apr 14, 2015
    • State-registered IARs · 6 to 4
      Jan 30, 2015 to Apr 14, 2015
    • Discretionary RAUM · 0.0 to unset
      Jan 30, 2015 to Apr 14, 2015
    • Non-discretionary RAUM · 0.0 to unset
      Jan 30, 2015 to Apr 14, 2015
    • RAUM · 0.0 to unset
      Jan 30, 2015 to Apr 14, 2015
    • Related adviser · true to false
      Jul 17, 2014 to Oct 7, 2014
    • Related broker-dealer · true to false
      Jul 17, 2014 to Oct 7, 2014
    • Related adviser · false to true
      Jun 27, 2014 to Jul 7, 2014
    • HQ city · KENTWOOD to GREENWOOD VILLAGE
      May 5, 2014 to Jun 27, 2014
    • HQ state · MI to CO
      May 5, 2014 to Jun 27, 2014
    • Advisory employees · 16 to 6
      Mar 28, 2014 to Mar 28, 2014
    • BD registered reps · 16 to 6
      Mar 28, 2014 to Mar 28, 2014
    • Employees · 16 to 6
      Mar 28, 2014 to Mar 28, 2014
    • State-registered IARs · 16 to 6
      Mar 28, 2014 to Mar 28, 2014
    • Business name · F•••• C••••••• A••••••• G•••• L•• to 1•• C••••••• A••••••• G•••• L••
      Nov 13, 2013 to Nov 21, 2013
    • Legal name · F•••• C••••••• A••••••• G•••• L•• to 1•• C••••••• A••••••• G•••• L••
      Nov 13, 2013 to Nov 21, 2013
    Signals
    1 dated events
    • F•••• C••••••• A••••••• G•••• L•• filed its initial SEC registration (Form ADV)
      Nov 13, 2013 · ria f•••• adv filing · 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