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••••••••• L••

Former SEC-registered adviserSalida, ColoradoCRD 281855SEC 801-108034IAPD
Latest filing Nov 2, 2016
First filing on the tape Jun 21, 2016 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Oct 20, 2016
Jun 21, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Nov 2, 2016
Jun 21, 20161 then
Employees (5.A)1 as of Nov 2, 2016
Jun 21, 20161 then
Private funds: no history
Practice profile
derived from the filing of Nov 2, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 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)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
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
      • S•••••••• R•••••• J•••• · Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • R••• D••••• Z•• · Managing Membercontrol
        since 06/2016 · owns 25% to 50% of T•• T••••••••• L•••
      • S•••••••• R•••••• J•••• · Managing Membercontrol
        since 06/2016 · owns 75% or more of F•••••••• S•••••• L••
      • T•••• E•••• · Managing Membercontrol
        since 06/2016 · owns 25% to 50% of T•• T••••••••• L•••
      • H••••••••• M•••• · Member
        since 06/2016 · owns F of T•• T••••••••• L•••
      • H••••••••• R•••• · Member
        since 06/2016 · owns F of T•• T••••••••• L•••
      • K•••••••• A•• · Member
        since 06/2016 · owns F of T•• T••••••••• L•••
      Entity owners
      • F•••••••• S•••••• L•• · Managing Member
        direct · owns 10% to 25%
      • T•• T••••••••• L••• · Managing Member
        direct · owns 75% or more
      • T•• P•••••••• 2••• T•••• · Member
        indirect · owns F of T•• T••••••••• L•••
      Related persons
      Schedule D 7.A
      • F••••••••• L••
        investment advisern
      Advisers that list F••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Oct 20, 2016 to Nov 2, 2016
      • Advisory activities · 2 to 1
        Oct 20, 2016 to Nov 2, 2016
      • Discretionary RAUM · 0.0 to unset
        Oct 20, 2016 to Nov 2, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Oct 20, 2016 to Nov 2, 2016
      • RAUM · 0.0 to unset
        Oct 20, 2016 to Nov 2, 2016
      • Business name · R•••••••• A••••••• L•• to F••••••••• L••
        Jun 21, 2016 to Oct 20, 2016
      • Legal name · R•••••••• A••••••• L•• to F••••••••• L••
        Jun 21, 2016 to Oct 20, 2016
      Signals
      1 dated events
      • R•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2016 · 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