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C••••• R•••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· Englewood, Coloradowebsite

Former SEC-registered adviser, based in Englewood, Colorado, reporting $29.0M of regulatory assets across 2 registered advisors.

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

Last reported RAUM
$29.0M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $29.0M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 173394 · SEC 801-114280 · 20 filingsShow
CRD 173394SEC 801-114280First filing on the tape Oct 12, 2018, latest Jan 29, 2020IAPD
RAUM
$29.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$14.5M
derived; firm RAUM over IAPD count
Employees
3
3 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$29.0M as of Jan 29, 2020
Oct 12, 2018$125M then
HNW client RAUM$21.3M as of Jan 29, 2020
Oct 12, 2018$16.8M then
State-registered IARs (5.B.3)2 as of Jan 29, 2020
Oct 12, 20181 then
Employees (5.A)3 as of Jan 29, 2020
Oct 12, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 29, 2020; every figure names its basis
RAUM per advisor
$14.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$936,109derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
  • High-net-worth individuals$21.3M73%
  • Individuals$7.7M27%
Individual clients
19reported
HNW clients
12reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
31reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• S•••••• B••••Englewood, CoAug 16, 202118 y1
J•••• J••• E••••Englewood, CoAug 16, 202127 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• J••••• J••• · President/ Chief Compliance Officercontrol
        since 09/2014 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Englewood, Co · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 35 to 31
        Aug 6, 2019 to Oct 8, 2019
      • Corporate clients · 1 to 0
        Aug 6, 2019 to Oct 8, 2019
      • HNW clients · 28 to 12
        Aug 6, 2019 to Oct 8, 2019
      • Individual clients · 6 to 19
        Aug 6, 2019 to Oct 8, 2019
      • Other offices · 1 to 0
        Aug 6, 2019 to Oct 8, 2019
      • Discretionary RAUM · $32.3M to $29.0M
        Aug 6, 2019 to Oct 8, 2019
      • HNW RAUM · $31.9M to $21.3M
        Aug 6, 2019 to Oct 8, 2019
      • Individual RAUM · $404,831 to $7.7M
        Aug 6, 2019 to Oct 8, 2019
      • Non-discretionary RAUM · $100M to $0
        Aug 6, 2019 to Oct 8, 2019
      • RAUM · $133M to $29.0M
        Aug 6, 2019 to Oct 8, 2019
      • State-registered IARs · 1 to 2
        Jul 15, 2019 to Jul 30, 2019
      • Other offices · 0 to 1
        Mar 26, 2019 to Jun 21, 2019
      • Advisory employees · 4 to 3
        Mar 18, 2019 to Mar 26, 2019
      • Employees · 4 to 3
        Mar 18, 2019 to Mar 26, 2019
      • State-registered IARs · 2 to 1
        Mar 18, 2019 to Mar 26, 2019
      • Accounts · 70 to 35
        Jan 31, 2019 to Mar 11, 2019
      • HNW clients · 12 to 28
        Jan 31, 2019 to Mar 11, 2019
      • Individual clients · 14 to 6
        Jan 31, 2019 to Mar 11, 2019
      • Discretionary RAUM · $24.6M to $32.3M
        Jan 31, 2019 to Mar 11, 2019
      • HNW RAUM · $16.8M to $31.9M
        Jan 31, 2019 to Mar 11, 2019
      • Individual RAUM · $7.8M to $404,831
        Jan 31, 2019 to Mar 11, 2019
      • Non-discretionary RAUM · $100M to $100M
        Jan 31, 2019 to Mar 11, 2019
      • RAUM · $125M to $133M
        Jan 31, 2019 to Mar 11, 2019
      • Advisory employees · 3 to 4
        Dec 11, 2018 to Jan 31, 2019
      • Employees · 3 to 4
        Dec 11, 2018 to Jan 31, 2019
      • State-registered IARs · 1 to 2
        Dec 11, 2018 to Jan 31, 2019
      • Advisory employees · 2 to 3
        Dec 4, 2018 to Dec 11, 2018
      • Employees · 2 to 3
        Dec 4, 2018 to Dec 11, 2018
      Signals
      2 dated events
      • ••• Locked
        Oct 8, 2019 · RAUM change · derived
      • ••• Locked
        Oct 12, 2018 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
      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
      $14.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026