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

R••••••• W••••• M••••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 290054SEC 801-111902IAPD
Latest filing Sep 18, 2018
First filing on the tape Sep 21, 2017 · 11 filings
RAUM
$54.0M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$54.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 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$54.0M as of Sep 18, 2018
Sep 21, 2017$0 then
HNW client RAUM$49.0M as of Sep 18, 2018
Oct 5, 2017$0 then
State-registered IARs (5.B.3)4 as of Sep 18, 2018
Sep 21, 20170 then
Employees (5.A)4 as of Sep 18, 2018
Sep 21, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 18, 2018; every figure names its basis
RAUM per advisor
$13.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$504,673derivedRAUM over accounts (5.F.2.f)
Discretionary
91%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
4.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$49.0MreportedItem 5.I
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
  • High-net-worth individuals$49.0M91%
  • Individuals$5.0M9.3%
Individual clients
22reported
HNW clients
34reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
  • I•••••• J••••• F•••••••• · Managing Member/Chief Compliance Officercontrol
    since 08/2017 · 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 · 105 to 107
    Jul 10, 2018 to Aug 23, 2018
  • HNW clients · 32 to 34
    Jul 10, 2018 to Aug 23, 2018
  • Discretionary RAUM · $47.0M to $49.0M
    Jul 10, 2018 to Aug 23, 2018
  • HNW RAUM · $47.0M to $49.0M
    Jul 10, 2018 to Aug 23, 2018
  • RAUM · $52.0M to $54.0M
    Jul 10, 2018 to Aug 23, 2018
  • Accounts · 0 to 105
    Mar 23, 2018 to Jul 10, 2018
  • Charity clients · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • Corporate clients · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • HNW clients · 0 to 32
    Mar 23, 2018 to Jul 10, 2018
  • Individual clients · 0 to 22
    Mar 23, 2018 to Jul 10, 2018
  • Pension plan clients · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • Pooled vehicle clients · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • Discretionary RAUM · $0 to $47.0M
    Mar 23, 2018 to Jul 10, 2018
  • HNW RAUM · $0 to $47.0M
    Mar 23, 2018 to Jul 10, 2018
  • Individual RAUM · $0 to $5.0M
    Mar 23, 2018 to Jul 10, 2018
  • Non-discretionary RAUM · $0 to $5.0M
    Mar 23, 2018 to Jul 10, 2018
  • Pension RAUM · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • Pooled vehicle RAUM · 0.0 to unset
    Mar 23, 2018 to Jul 10, 2018
  • RAUM · $0 to $52.0M
    Mar 23, 2018 to Jul 10, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 23, 2018 to Jul 10, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 23, 2018 to Jul 10, 2018
  • Advisory employees · 1 to 4
    Oct 5, 2017 to Jan 29, 2018
  • Advisory activities · 1 to 3
    Oct 5, 2017 to Jan 29, 2018
  • Employees · 1 to 4
    Oct 5, 2017 to Jan 29, 2018
  • Financial planning clients · unset to 0
    Oct 5, 2017 to Jan 29, 2018
  • HQ city · unset to DENVER
    Oct 5, 2017 to Jan 29, 2018
  • HQ state · unset to CO
    Oct 5, 2017 to Jan 29, 2018
  • State-registered IARs · 0 to 4
    Oct 5, 2017 to Jan 29, 2018
  • Charity clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Corporate clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • HNW clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Individual clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Pension plan clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Pooled vehicle clients · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Other offices · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • HNW RAUM · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Individual RAUM · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Pension RAUM · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Sep 21, 2017 to Oct 5, 2017
Signals
1 dated events
  • R••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 21, 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