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

M•••• W••••• M••••••••• L••

Former SEC-registered adviserLittleton, ColoradoCRD 174406SEC 801-80831IAPD
Latest filing Aug 25, 2016
First filing on the tape Jan 2, 2015 · 6 filings
RAUM
$5.4M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$5.4M as of Aug 25, 2016
Jan 2, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Aug 25, 2016
Jan 2, 20152 then
Employees (5.A)7 as of Aug 25, 2016
Jan 2, 20154 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 25, 2016; every figure names its basis
RAUM per advisor
$1.8MderivedRAUM 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
$113,208derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 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 assetsreportedItem 5.E
Advisory activities
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
48reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • W••••••• G••••••• A••• · Managing Member & Chief Compliance Officercontrol
      since 12/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 48
      Feb 2, 2015 to Feb 19, 2016
    • Advisory employees · 2 to 3
      Feb 2, 2015 to Feb 19, 2016
    • Employees · 4 to 7
      Feb 2, 2015 to Feb 19, 2016
    • Insurance-licensed employees · 0 to 3
      Feb 2, 2015 to Feb 19, 2016
    • State-registered IARs · 2 to 3
      Feb 2, 2015 to Feb 19, 2016
    • Discretionary RAUM · $0 to $5.4M
      Feb 2, 2015 to Feb 19, 2016
    • RAUM · $0 to $5.4M
      Feb 2, 2015 to Feb 19, 2016
    Signals
    1 dated events
    • M•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 2, 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