DFX Intelligence

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R•••••• C••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· Denver, Coloradowebsite

Asset manager (funds and pooled vehicles), based in Denver, Colorado, reporting $299M of regulatory assets.

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

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $299M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +12%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 269879 · SEC 801-100510 · 21 filingsShow

CRD 269879SEC 801-100510First filing on the tape Jun 30, 2015, latest Mar 26, 2026SEC status approved since Jul 8, 2015IAPD

RAUM

$299M

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

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$299M as of Mar 26, 2026

Mar 9, 2016$115M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Mar 9, 20160 then

Employees (5.A)7 as of Mar 26, 2026

Mar 9, 20168 then

Private funds2 as of Mar 26, 2026

Mar 9, 20162 then

RAUM +12% over the last fiscal year+18% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM 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: $74.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $151M, 2 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$297M99%
Corporations and businesses$1.6M0.5%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $151M for 2 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••••• F•••• L•••	Hedge Fund	$151M	23	Oct 29, 2015
C•••• F•••• L•••no longer reported	Hedge Fund	$4.1M	4	Oct 29, 2015
R•••••• O••••••• F••• L•••	Hedge Fund	$601,732	1	Mar 28, 2022

Owners and control persons

Schedule A and B, latest filing

F•••••••• B•••••• · Chief Operating Officer & Chief Compliance Officercontrol
since 03/2024 · owns less than 5%
H••••••• C••••••••• E••••• · Chief Executive Officercontrol
since 06/2015 · owns 75% or more
S••••••• B•••• G•••••••• · Chief Legal Officercontrol
since 03/2024 · 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

Assets in custody · $150M to $151M
Mar 28, 2025 to Mar 26, 2026
Employees · 5 to 7
Mar 28, 2025 to Mar 26, 2026
Discretionary RAUM · $266M to $299M
Mar 28, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $265M to $297M
Mar 28, 2025 to Mar 26, 2026
RAUM · $266M to $299M
Mar 28, 2025 to Mar 26, 2026
Assets in custody · $128M to $150M
Mar 25, 2024 to Mar 28, 2025
Financial planning clients · 0 to 0
Mar 25, 2024 to Mar 28, 2025
Discretionary RAUM · $199M to $266M
Mar 25, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $198M to $265M
Mar 25, 2024 to Mar 28, 2025
RAUM · $199M to $266M
Mar 25, 2024 to Mar 28, 2025
Accounts · 3 to 4
Oct 2, 2023 to Mar 25, 2024
Advisory activities · 2 to 3
Oct 2, 2023 to Mar 25, 2024
Corporate clients · unset to 1.0
Oct 2, 2023 to Mar 25, 2024
Assets in custody · $117M to $128M
Oct 2, 2023 to Mar 25, 2024
Employees · 6 to 5
Oct 2, 2023 to Mar 25, 2024
Discretionary RAUM · $182M to $199M
Oct 2, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $182M to $198M
Oct 2, 2023 to Mar 25, 2024
RAUM · $182M to $199M
Oct 2, 2023 to Mar 25, 2024
Accounts · 2 to 3
Nov 3, 2022 to Mar 23, 2023
Pooled vehicle clients · 2 to 3
Nov 3, 2022 to Mar 23, 2023
Assets in custody · $135M to $117M
Nov 3, 2022 to Mar 23, 2023
Discretionary RAUM · $225M to $182M
Nov 3, 2022 to Mar 23, 2023
Pooled vehicle RAUM · $225M to $182M
Nov 3, 2022 to Mar 23, 2023
RAUM · $225M to $182M
Nov 3, 2022 to Mar 23, 2023
Assets in custody · $123M to $135M
May 18, 2021 to Mar 28, 2022
Private funds · 1 to 2
May 18, 2021 to Mar 28, 2022
Discretionary RAUM · $194M to $225M
May 18, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $194M to $225M
May 18, 2021 to Mar 28, 2022
RAUM · $194M to $225M
May 18, 2021 to Mar 28, 2022
Advisory activities · 1 to 2
Mar 31, 2021 to Apr 14, 2021
Accounts · 3 to 2
Feb 24, 2020 to Mar 31, 2021
Pooled vehicle clients · 3 to 2
Feb 24, 2020 to Mar 31, 2021
Assets in custody · $76.5M to $123M
Feb 24, 2020 to Mar 31, 2021
Discretionary RAUM · $154M to $194M
Feb 24, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $154M to $194M
Feb 24, 2020 to Mar 31, 2021
RAUM · $154M to $194M
Feb 24, 2020 to Mar 31, 2021
Advisory employees · 4 to 3
Mar 15, 2019 to Feb 24, 2020
Pooled vehicle clients · 4 to 3
Mar 15, 2019 to Feb 24, 2020
Assets in custody · $75.5M to $76.5M
Mar 15, 2019 to Feb 24, 2020
Employees · 7 to 6
Mar 15, 2019 to Feb 24, 2020

Signals

2 dated events

••• Locked
Mar 25, 2024 · Control person joined · fact
••• Locked
Jun 30, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 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: Asset manager (funds and pooled vehicles)deriveda 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