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

A••••••••• I••••••••

Former SEC-registered adviserColorado Springs, ColoradoCRD 289016SEC 801-110892IAPD
Legal name A••••••••• I••••••••• L••
Latest filing Feb 7, 2019
First filing on the tape Jun 27, 2017 · 10 filings
RAUM
$2.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.3M as of Feb 7, 2019
Feb 8, 2018$443,000 then
HNW client RAUM: $600,000
State-registered IARs (5.B.3)2 as of Feb 7, 2019
Feb 8, 20182 then
Employees (5.A)2 as of Feb 7, 2019
Feb 8, 20182 then
Private funds: no history
RAUM +429% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 7, 2019; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$600,000derivedHNW RAUM over HNW clients
Average account
$41,123derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+429%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.7M74%
  • High-net-worth individuals$600,00026%
Individual clients
39reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
57reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• D•••••• C••• · Managing Membercontrol
    since 06/2017 · owns 75% or more
  • H••••••••• S••••••• D••••• · Ceo/Cco
    since 09/2017 · owns less than 5%
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 · 17 to 57
    Sep 7, 2018 to Feb 7, 2019
  • HNW clients · unset to 1.0
    Sep 7, 2018 to Feb 7, 2019
  • Individual clients · 11 to 39
    Sep 7, 2018 to Feb 7, 2019
  • Discretionary RAUM · $1.4M to $2.3M
    Sep 7, 2018 to Feb 7, 2019
  • HNW RAUM · unset to 600000.0
    Sep 7, 2018 to Feb 7, 2019
  • Individual RAUM · $443,000 to $1.7M
    Sep 7, 2018 to Feb 7, 2019
  • RAUM · $1.4M to $2.3M
    Sep 7, 2018 to Feb 7, 2019
  • Accounts · 14 to 17
    Mar 10, 2018 to Sep 7, 2018
  • Discretionary RAUM · $443,000 to $1.4M
    Mar 10, 2018 to Sep 7, 2018
  • RAUM · $443,000 to $1.4M
    Mar 10, 2018 to Sep 7, 2018
  • Accounts · 0 to 14
    Dec 1, 2017 to Feb 8, 2018
  • Individual clients · unset to 11.0
    Dec 1, 2017 to Feb 8, 2018
  • Other offices · 1 to 0
    Dec 1, 2017 to Feb 8, 2018
  • Discretionary RAUM · $0 to $443,000
    Dec 1, 2017 to Feb 8, 2018
  • Individual RAUM · unset to 443000.0
    Dec 1, 2017 to Feb 8, 2018
  • RAUM · $0 to $443,000
    Dec 1, 2017 to Feb 8, 2018
  • Other offices · unset to 1.0
    Sep 25, 2017 to Dec 1, 2017
  • Advisory employees · 1 to 2
    Aug 24, 2017 to Sep 20, 2017
  • Employees · 1 to 2
    Aug 24, 2017 to Sep 20, 2017
  • Insurance-licensed employees · 1 to 2
    Aug 24, 2017 to Sep 20, 2017
  • State-registered IARs · 1 to 2
    Aug 24, 2017 to Sep 20, 2017
Signals
1 dated events
  • A••••••••• I•••••••• filed its initial SEC registration (Form ADV)
    Jun 27, 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
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