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Former SEC-registered adviserFormer SEC adviser· Frisco, Colorado

Former SEC-registered adviser, based in Frisco, Colorado, reporting $123M of regulatory assets.

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

Last reported RAUM
$123M
Form ADV
RAUM change, 1 year
+27%
Form ADV, consecutive annual filings
Private clients
95%
of RAUM, $117M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Aug 2020, RAUM $96.6M to $123M (+27.5%) on the Form ADV filed 18 Aug 2020, while advisors on the filing rose 3 to 3.

Every filed figure, and the identifiersCRD 288746 · SEC 801-112569 · 11 filingsShow
CRD 288746SEC 801-112569First filing on the tape Jun 23, 2017, latest Aug 18, 2020IAPD
RAUM
$123M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$117M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape

RAUM +27% over the last fiscal year · the tape starts Jun 23, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$123M as of Feb 7, 2020
Feb 6, 2019$96.6M then
HNW client RAUM$66.6M as of Feb 7, 2020
Feb 6, 2019$45.8M then
State-registered IARs (5.B.3)3 as of Feb 7, 2020
Feb 6, 20193 then
Employees (5.A)3 as of Feb 7, 2020
Feb 6, 20193 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 18, 2020; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$41.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$241,576derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$117MreportedItem 5.I
Custody
$11.8M, 10 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

54% high-net-worth individuals, 41% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • High-net-worth individuals$66.6M54%
  • Individuals$50.9M41%
  • Corporations and businesses$3.3M2.7%
  • Charitable organizations$2.5M2.0%
Individual clients
156reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
510reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$11.8M for 10 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••• R•••••• F••• · Presidentcontrol
        since 10/2010 · owns less than 5%
      • M•••••••• E••••• A•• · Chief Compliance Officer, Ownercontrol
        since 05/2017 · owns less than 5%
      Entity owners
      • M••••• G••••• A••••••• I••• · Parent Company
        direct · owns 75% or more
      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
      • Accounts · 436 to 510
        Nov 6, 2019 to Feb 7, 2020
      • Corporate clients · unset to 9.0
        Nov 6, 2019 to Feb 7, 2020
      • HNW clients · 22 to 32
        Nov 6, 2019 to Feb 7, 2020
      • Individual clients · 144 to 156
        Nov 6, 2019 to Feb 7, 2020
      • Assets in custody · $11.5M to $11.8M
        Nov 6, 2019 to Feb 7, 2020
      Full history · 57 changes
      • Discretionary RAUM · $92.8M to $118M
        Nov 6, 2019 to Feb 7, 2020
      • HNW RAUM · $45.8M to $66.6M
        Nov 6, 2019 to Feb 7, 2020
      • Individual RAUM · $44.0M to $50.9M
        Nov 6, 2019 to Feb 7, 2020
      • Non-discretionary RAUM · $3.8M to $5.1M
        Nov 6, 2019 to Feb 7, 2020
      • Pension RAUM · $3.3M to $0
        Nov 6, 2019 to Feb 7, 2020
      • RAUM · $96.6M to $123M
        Nov 6, 2019 to Feb 7, 2020
      • Wrap assets (manager) · $92.8M to $0
        Nov 6, 2019 to Feb 7, 2020
      • Wrap assets (sponsor) · $92.8M to $0
        Nov 6, 2019 to Feb 7, 2020
      • Assets in custody · unset to 11500000.0
        Feb 6, 2019 to Nov 6, 2019
      • Custody of client assets · false to true
        Feb 6, 2019 to Nov 6, 2019
      • Accounts · 411 to 436
        Feb 5, 2018 to Feb 6, 2019
      • Advisory employees · 2 to 3
        Feb 5, 2018 to Feb 6, 2019
      • Charity clients · 5.0 to unset
        Feb 5, 2018 to Feb 6, 2019
      • HNW clients · 35 to 22
        Feb 5, 2018 to Feb 6, 2019
      • Individual clients · 182 to 144
        Feb 5, 2018 to Feb 6, 2019
      • Employees · 2 to 3
        Feb 5, 2018 to Feb 6, 2019
      • State-registered IARs · 2 to 3
        Feb 5, 2018 to Feb 6, 2019
      • Discretionary RAUM · $93.6M to $92.8M
        Feb 5, 2018 to Feb 6, 2019
      • HNW RAUM · $48.4M to $45.8M
        Feb 5, 2018 to Feb 6, 2019
      • Individual RAUM · $45.6M to $44.0M
        Feb 5, 2018 to Feb 6, 2019
      • Non-discretionary RAUM · $6.6M to $3.8M
        Feb 5, 2018 to Feb 6, 2019
      • Pension RAUM · $3.3M to $3.3M
        Feb 5, 2018 to Feb 6, 2019
      • RAUM · $100M to $96.6M
        Feb 5, 2018 to Feb 6, 2019
      • Wrap assets (manager) · $79.3M to $92.8M
        Feb 5, 2018 to Feb 6, 2019
      • Wrap assets (sponsor) · $79.3M to $92.8M
        Feb 5, 2018 to Feb 6, 2019
      • Accounts · 372 to 411
        Dec 12, 2017 to Feb 2, 2018
      • Charity clients · 4 to 5
        Dec 12, 2017 to Feb 2, 2018
      • HNW clients · 24 to 35
        Dec 12, 2017 to Feb 2, 2018
      • Individual clients · 152 to 182
        Dec 12, 2017 to Feb 2, 2018
      • Pension plan clients · 2.0 to unset
        Dec 12, 2017 to Feb 2, 2018
      • Financial planning clients · 0 to 1-10
        Dec 12, 2017 to Feb 2, 2018
      • Discretionary RAUM · $83.1M to $93.6M
        Dec 12, 2017 to Feb 2, 2018
      • HNW RAUM · $45.0M to $48.4M
        Dec 12, 2017 to Feb 2, 2018
      • Individual RAUM · $35.8M to $45.6M
        Dec 12, 2017 to Feb 2, 2018
      • Non-discretionary RAUM · $3.2M to $6.6M
        Dec 12, 2017 to Feb 2, 2018
      • Pension RAUM · $3.2M to $3.3M
        Dec 12, 2017 to Feb 2, 2018
      • RAUM · $86.3M to $100M
        Dec 12, 2017 to Feb 2, 2018
      • Advisory activities · 3 to 4
        Oct 23, 2017 to Nov 27, 2017
      • Accounts · 0 to 372
        Jun 23, 2017 to Oct 23, 2017
      • Charity clients · unset to 4.0
        Jun 23, 2017 to Oct 23, 2017
      • HNW clients · unset to 24.0
        Jun 23, 2017 to Oct 23, 2017
      • Individual clients · unset to 152.0
        Jun 23, 2017 to Oct 23, 2017
      • Pension plan clients · unset to 2.0
        Jun 23, 2017 to Oct 23, 2017
      • Other offices · unset to 0.0
        Jun 23, 2017 to Oct 23, 2017
      • Discretionary RAUM · $0 to $83.1M
        Jun 23, 2017 to Oct 23, 2017
      • HNW RAUM · unset to 44990332.0
        Jun 23, 2017 to Oct 23, 2017
      • Individual RAUM · unset to 35841036.0
        Jun 23, 2017 to Oct 23, 2017
      • Non-discretionary RAUM · $0 to $3.2M
        Jun 23, 2017 to Oct 23, 2017
      • Pension RAUM · unset to 3194458.0
        Jun 23, 2017 to Oct 23, 2017
      • RAUM · $0 to $86.3M
        Jun 23, 2017 to Oct 23, 2017
      • Wrap assets (manager) · unset to 79291597.0
        Jun 23, 2017 to Oct 23, 2017
      • Wrap assets (sponsor) · unset to 79291597.0
        Jun 23, 2017 to Oct 23, 2017
      Signals
      1 dated events
      • ••• Locked
        Jun 23, 2017 · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026