DFX Intelligence

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L•••••• F•••••••• G••••• L••

Former SEC-registered adviserFormer SEC adviser· Denver, Colorado

Former SEC-registered adviser, based in Denver, Colorado, reporting $21.1M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2015-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $21.1M
Advisors: 1
Net advisor flow, 12 months: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2015-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 172358 · SEC 801-80420 · 4 filingsShow

CRD 172358SEC 801-80420First filing on the tape Sep 26, 2014, latest Mar 30, 2015IAPD

RAUM

$21.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$21.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 26, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$21.1M as of Mar 30, 2015

Sep 26, 2014$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 30, 2015

Sep 26, 20141 then

Employees (5.A)2 as of Mar 30, 2015

Sep 26, 20142 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 30, 2015; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $21.1MderivedRAUM 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: $174,467derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office 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 fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 121reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, commissionsreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

C•••• E•••• L•••••• from V••• F•••••••• A•••••••• I•••
Oct 13, 2014 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C•••• E•••• L••••••	Avon, Co	Oct 13, 2014	17 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• C••••• E•••• · Managing Member
since 11/2008 · owns 75% or more
L••••••• D••••••• L••• · Chief Compliance Officer
since 07/2014 · owns less than 5%

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

Accounts · 111 to 121
Mar 5, 2015 to Mar 30, 2015
Accounts · 0 to 111
Sep 26, 2014 to Jan 19, 2015
Financial planning clients · 0 to 1-10
Sep 26, 2014 to Jan 19, 2015
Discretionary RAUM · $0 to $21.1M
Sep 26, 2014 to Jan 19, 2015
Non-discretionary RAUM · $0 to $49,155
Sep 26, 2014 to Jan 19, 2015

Full history · 6 changes

RAUM · $0 to $21.1M
Sep 26, 2014 to Jan 19, 2015

Signals

1 dated events

••• Locked
Sep 26, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $21.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026