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

C•••••• C•••••• M••••••••• L••

Former SEC-registered adviserParker, ColoradoCRD 284318SEC 801-108204IAPD
Latest filing Feb 10, 2017
First filing on the tape Jul 25, 2016 · 12 filings
RAUM
$18.5M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$9.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$18.5M as of Feb 10, 2017
Jul 25, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 10, 2017
Jul 25, 20160 then
Employees (5.A)2 as of Feb 10, 2017
Jul 25, 20162 then
Private funds: no history
Practice profile
derived from the filing of Feb 10, 2017; every figure names its basis
RAUM per advisor
$9.3MderivedRAUM 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
$770,833derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
  • 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
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
24reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
G•••• L••••••• D••••••••Parker, CoSep 27, 201628 y3
S•••• J•••••• A•••••••Fort Lauderdale, Fl Oct 18, 201624 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• G••••• L••••••• · Ccocontrol
      since 06/2016 · owns less than 5%
    • D••••••••• G••••• L••••••• · Managing Membercontrol
      since 06/2016 · owns 75% or more of D•••••••• G••••• L••
    Entity owners
    • D•••••••• G••••• L•• · Managing Member
      direct · 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
    Parker, Co · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 2
      Nov 15, 2016 to Dec 12, 2016
    • Employees · 1 to 2
      Nov 15, 2016 to Dec 12, 2016
    • State-registered IARs · 0 to 2
      Nov 15, 2016 to Dec 12, 2016
    • Accounts · 0 to 24
      Oct 12, 2016 to Nov 8, 2016
    • Discretionary RAUM · $0 to $17.0M
      Oct 12, 2016 to Nov 8, 2016
    • Non-discretionary RAUM · $0 to $1.5M
      Oct 12, 2016 to Nov 8, 2016
    • RAUM · $0 to $18.5M
      Oct 12, 2016 to Nov 8, 2016
    • Advisory employees · 2 to 1
      Aug 4, 2016 to Aug 30, 2016
    • Employees · 2 to 1
      Aug 4, 2016 to Aug 30, 2016
    Signals
    1 dated events
    • C•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 25, 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.
    How to reach
    public business contact points only, each with its source
    Firm profile
    LINKEDIN.COM/COMPANY/15252400reportedpublic record, Form ADV, Sep 18, 2026
    Website
    C••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 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
    $9.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026