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

F••••• A•••• M•••••••••

Former SEC-registered adviserDenver, ColoradoCRD 174199SEC 801-107050IAPD
Legal name F••••• A•••• M••••••••• I•••
Latest filing Aug 5, 2016
First filing on the tape Dec 8, 2015 · 6 filings
RAUM
$143M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$143M as of Aug 5, 2016
Dec 8, 2015$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 5, 2016
Dec 8, 20151 then
Employees (5.A)6 as of Aug 5, 2016
Dec 8, 20153 then
Private funds1 as of Aug 5, 2016
Jul 19, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 5, 2016; every figure names its basis
RAUM per advisor
$71.7MderivedRAUM 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
65reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourly, 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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
B•••• S•••• C••••• O••••••••• F•••• L•••Securitized Asset Fund$00Jul 19, 2016
Owners and control persons
Schedule A and B, latest filing
  • M••••• D••••••• S••••••• · Chief Compliance Officercontrol
    since 03/2016 · owns less than 5%
  • N•••••• M••••••• M••••• · Chief Operating Officercontrol
    since 12/2014 · owns less than 5%
Entity owners
  • F••••• P•••••• B••• · Shareholder
    direct · owns 75% or more
  • F•• B••••••••• I••• · Shareholder
    indirect · owns 75% or more of F••••• P•••••• B•••
Related persons
Schedule D 7.A
  • F••••• P•••••• B•••
    y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 3 to 4
    May 12, 2016 to Jul 19, 2016
  • Assets in custody · unset to 0.0
    May 12, 2016 to Jul 19, 2016
  • Custody of client assets · false to true
    May 12, 2016 to Jul 19, 2016
  • Private funds · unset to 1
    May 12, 2016 to Jul 19, 2016
  • Accounts · 48 to 65
    Dec 11, 2015 to Mar 29, 2016
  • Advisory employees · 3 to 2
    Dec 11, 2015 to Mar 29, 2016
  • Employees · 3 to 6
    Dec 11, 2015 to Mar 29, 2016
  • Financial planning clients · 0 to 1-10
    Dec 11, 2015 to Mar 29, 2016
  • HQ city · ENGLEWOOD to DENVER
    Dec 11, 2015 to Mar 29, 2016
  • State-registered IARs · 1 to 2
    Dec 11, 2015 to Mar 29, 2016
  • Discretionary RAUM · $113M to $143M
    Dec 11, 2015 to Mar 29, 2016
  • RAUM · $113M to $143M
    Dec 11, 2015 to Mar 29, 2016
Signals
1 dated events
  • F••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Dec 8, 2015 · 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