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

C••••••• E••••• P••••••• L••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 169786SEC 801-80468IAPD
Latest filing Nov 14, 2017
First filing on the tape Jan 3, 2014 · 18 filings
RAUM
$64.4M
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
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$45.1M gross assets
History
18 filings and snapshots on the tape
RAUM$77.8M as of Mar 31, 2017
Feb 20, 2015$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Feb 20, 20150 then
Employees (5.A)10 as of Mar 31, 2017
Feb 20, 201521 then
Private funds1 as of Mar 31, 2017
Feb 20, 20158 then
RAUM +13% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Nov 14, 2017; every figure names its basis
RAUM per advisor
$32.2MderivedRAUM 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
$9.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$77.8M, 8 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
  • 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)
  • 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$64.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$77.8M for 8 clientsreported
Compensation
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• E••••• V•• L••Private Equity Fund$45.1M8Feb 20, 2015
      B••••• D••••••• F••• I•• L•no longer reportedPrivate Equity Fund$10.0M680Jan 3, 2014
      B••••• D••••••• F••• I••• L•no longer reportedPrivate Equity Fund$5.4M538Jan 3, 2014
      B••••• I••••• F•••• L••no longer reportedPrivate Equity Fund$3.5M314Jan 3, 2014
      C••••••• E••••• V• L•no longer reportedPrivate Equity Fund$36,72223Feb 20, 2015
      C••••••• E••••• L••• I•• L••no longer reportedPrivate Equity Fund$22,82732Jan 3, 2014
      B••••• D••••••• F••• I••• L••no longer reportedPrivate Equity Fund$055Jan 3, 2014
      C••••••• E••••• V•• L••no longer reportedPrivate Equity Fund$013Feb 20, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• R••••••• D••• · Chief Executive Officer, Membercontrol
        since 01/2013 · owns 50% to 75%
      • M•••••• M•••••••• L••• · Chief Financial Officercontrol
        since 05/2015 · owns less than 5%
      • S••••••••• K••••• A•• · Chief Compliance Officer
        since 12/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C• M••••••• G•••••• P••••••• I• L••
        pooled vehicle sponsory
      • C••••••• E••••• M••••••• G•••••• P••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 7.0
        Sep 29, 2017 to Nov 14, 2017
      • State-registered IARs · 0 to 2
        Sep 29, 2017 to Nov 14, 2017
      • Other offices · unset to 1.0
        Sep 29, 2017 to Nov 14, 2017
      • Pooled vehicle RAUM · unset to 64372218.0
        Sep 29, 2017 to Nov 14, 2017
      • Accounts · 8 to 7
        Mar 31, 2017 to Sep 19, 2017
      • Discretionary RAUM · $77.8M to $64.4M
        Mar 31, 2017 to Sep 19, 2017
      • RAUM · $77.8M to $64.4M
        Mar 31, 2017 to Sep 19, 2017
      • Advisory employees · 6 to 4
        Feb 9, 2017 to Mar 31, 2017
      • Assets in custody · $63.4M to $77.8M
        Feb 9, 2017 to Mar 31, 2017
      • Employees · 12 to 10
        Feb 9, 2017 to Mar 31, 2017
      • Discretionary RAUM · $63.4M to $77.8M
        Feb 9, 2017 to Mar 31, 2017
      • RAUM · $63.4M to $77.8M
        Feb 9, 2017 to Mar 31, 2017
      • Assets in custody · $56.8M to $63.4M
        Mar 30, 2016 to Jun 22, 2016
      • Private funds · 8 to 1
        Mar 30, 2016 to Jun 22, 2016
      • Discretionary RAUM · $56.8M to $63.4M
        Mar 30, 2016 to Jun 22, 2016
      • RAUM · $56.8M to $63.4M
        Mar 30, 2016 to Jun 22, 2016
      • Advisory employees · 7 to 6
        Sep 4, 2015 to Mar 30, 2016
      • Assets in custody · $167M to $56.8M
        Sep 4, 2015 to Mar 30, 2016
      • Employees · 21 to 12
        Sep 4, 2015 to Mar 30, 2016
      • Discretionary RAUM · $167M to $56.8M
        Sep 4, 2015 to Mar 30, 2016
      • RAUM · $167M to $56.8M
        Sep 4, 2015 to Mar 30, 2016
      • Accounts · 5 to 8
        Oct 24, 2014 to Feb 20, 2015
      • Advisory employees · 3 to 7
        Oct 24, 2014 to Feb 20, 2015
      • Assets in custody · $162M to $167M
        Oct 24, 2014 to Feb 20, 2015
      • Employees · 22 to 21
        Oct 24, 2014 to Feb 20, 2015
      • Private funds · 5 to 8
        Oct 24, 2014 to Feb 20, 2015
      • Discretionary RAUM · $162M to $167M
        Oct 24, 2014 to Feb 20, 2015
      • RAUM · $162M to $167M
        Oct 24, 2014 to Feb 20, 2015
      • Private funds · 10 to 5
        Oct 7, 2014 to Oct 24, 2014
      • Assets in custody · $85.7M to $162M
        Jan 3, 2014 to Oct 7, 2014
      • Employees · 12 to 22
        Jan 3, 2014 to Oct 7, 2014
      • Financial planning clients · unset to 0
        Jan 3, 2014 to Oct 7, 2014
      • Private funds · 5 to 10
        Jan 3, 2014 to Oct 7, 2014
      • Discretionary RAUM · $85.7M to $162M
        Jan 3, 2014 to Oct 7, 2014
      • RAUM · $85.7M to $162M
        Jan 3, 2014 to Oct 7, 2014
      Signals
      1 dated events
      • C••••••• E••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 3, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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