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.

Former SEC-registered adviser

Cardan Capital Partners, LLC

Former SEC-registered adviserDenver, ColoradoCRD 170911SEC 801-79570IAPD
Latest filing Mar 31, 2021
First filing on the tape Apr 1, 2014 · 20 filings
RAUM
$992M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$982M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$992M as of Mar 31, 2021
Mar 2, 2016$470M then
HNW client RAUM$951M as of Mar 31, 2021
Mar 26, 2018$684M then
State-registered IARs (5.B.3)7 as of Mar 31, 2021
Feb 10, 20150 then
Employees (5.A)12 as of Mar 31, 2021
Feb 10, 20151 then
Private funds: no history
RAUM +5.4% over the last fiscal year+12% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$450,317derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$129M, 150 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$951M96%
  • Individuals$31.0M3.1%
  • Corporations and businesses$4.9M0.5%
  • Charitable organizations$4.3M0.4%
  • Pension and profit-sharing plans$919,3600.1%
Individual clients
111reported
HNW clients
251reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,204reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$129M for 150 clientsreported
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
Left, 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
  • Alexander Ross Fox · Member & Founding Partnercontrol
    since 11/2015 · owns 25% to 50%
  • Ann Julie Goodrum · Chief Compliance Officercontrol
    since 03/2019 · owns less than 5%
  • Aram Matthew Papazian · Managing Member & Chief Investment Officercontrol
    since 11/2015 · owns 25% to 50%
  • Jeanne Martha Awad · Member & Founding Partner
    since 11/2015 · owns 10% to 25%
  • Lyn Sarah Keys · Member & Founding Partner
    since 11/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Corporate clients · 6 to 7
    Sep 23, 2020 to Mar 31, 2021
  • HNW clients · 252 to 251
    Sep 23, 2020 to Mar 31, 2021
  • Individual clients · 103 to 111
    Sep 23, 2020 to Mar 31, 2021
  • Assets in custody · $108M to $129M
    Sep 23, 2020 to Mar 31, 2021
  • Employees · 11 to 12
    Sep 23, 2020 to Mar 31, 2021
  • Discretionary RAUM · $889M to $992M
    Sep 23, 2020 to Mar 31, 2021
  • HNW RAUM · $853M to $951M
    Sep 23, 2020 to Mar 31, 2021
  • Individual RAUM · $28.7M to $31.0M
    Sep 23, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $52.6M to $0
    Sep 23, 2020 to Mar 31, 2021
  • Pension RAUM · $358,765 to $919,360
    Sep 23, 2020 to Mar 31, 2021
  • RAUM · $941M to $992M
    Sep 23, 2020 to Mar 31, 2021
  • Accounts · 1,879 to 2,204
    Dec 10, 2019 to Mar 30, 2020
  • Advisory employees · 5 to 6
    Dec 10, 2019 to Mar 30, 2020
  • Corporate clients · unset to 6.0
    Dec 10, 2019 to Mar 30, 2020
  • HNW clients · 223 to 252
    Dec 10, 2019 to Mar 30, 2020
  • Individual clients · 91 to 103
    Dec 10, 2019 to Mar 30, 2020
  • Assets in custody · $76.9M to $108M
    Dec 10, 2019 to Mar 30, 2020
  • Employees · 10 to 11
    Dec 10, 2019 to Mar 30, 2020
  • Financial planning clients · 51-100 to 101-250
    Dec 10, 2019 to Mar 30, 2020
  • State-registered IARs · 5 to 7
    Dec 10, 2019 to Mar 30, 2020
  • Discretionary RAUM · $666M to $889M
    Dec 10, 2019 to Mar 30, 2020
  • HNW RAUM · $637M to $853M
    Dec 10, 2019 to Mar 30, 2020
  • Individual RAUM · $25.7M to $28.7M
    Dec 10, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $36.3M to $52.6M
    Dec 10, 2019 to Mar 30, 2020
  • Pension RAUM · unset to 358765.0
    Dec 10, 2019 to Mar 30, 2020
  • RAUM · $703M to $941M
    Dec 10, 2019 to Mar 30, 2020
  • Accounts · 1,771 to 1,879
    Sep 6, 2018 to Mar 18, 2019
  • HNW clients · 220 to 223
    Sep 6, 2018 to Mar 18, 2019
  • Individual clients · 66 to 91
    Sep 6, 2018 to Mar 18, 2019
  • Assets in custody · $84.8M to $76.9M
    Sep 6, 2018 to Mar 18, 2019
  • Employees · 9 to 10
    Sep 6, 2018 to Mar 18, 2019
  • Discretionary RAUM · $702M to $666M
    Sep 6, 2018 to Mar 18, 2019
  • HNW RAUM · $684M to $637M
    Sep 6, 2018 to Mar 18, 2019
  • Individual RAUM · $17.9M to $25.7M
    Sep 6, 2018 to Mar 18, 2019
  • Non-discretionary RAUM · $404,028 to $36.3M
    Sep 6, 2018 to Mar 18, 2019
  • RAUM · $702M to $703M
    Sep 6, 2018 to Mar 18, 2019
  • Accounts · 1,613 to 1,771
    Sep 6, 2017 to Mar 26, 2018
  • Advisory employees · 4 to 5
    Sep 6, 2017 to Mar 26, 2018
  • BD registered reps · 1 to 0
    Sep 6, 2017 to Mar 26, 2018
  • HNW clients · unset to 220.0
    Sep 6, 2017 to Mar 26, 2018
Signals
3 dated events
  • Cardan Capital Partners, Llc reported RAUM $941.3M, up 34% from $702.5M (2019-12-10 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Ann Julie Goodrum (Chief Compliance Officer) appeared on Schedule A of Cardan Capital Partners, Llc
    Mar 18, 2019 · Control person joined · fact
  • Betty Advisors, Llc filed its initial SEC registration (Form ADV)
    Apr 1, 2014 · 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