DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

E••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Bozeman, Montana

Former SEC-registered adviser, based in Bozeman, Montana.

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

As of 2017-10-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2017-10-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 290072 · SEC 801-111920 · 4 filingsShow

CRD 290072SEC 801-111920First filing on the tape Sep 25, 2017, latest Oct 24, 2017IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 25, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Oct 24, 2017

Sep 25, 2017$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Oct 24, 2017

Sep 25, 20170 then

Employees (5.A)4 as of Oct 24, 2017

Sep 25, 20171 then

Private funds: no history

Practice profile

derived from the filing of Oct 24, 2017; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $0derivedRAUM 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: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office 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, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

H••••• S••••• M•••••• · Managing Membercontrol
since 10/2017 · owns 50% to 75%
H•••••• K••• M•••• · Managing Member And Chief Compliance Officercontrol
since 10/2017 · owns 50% to 75%

Ownership changes

4 Schedule A changes between consecutive filings, latest first

Added S•••• H•••• M•••••• · Managing Member control
filing of Oct 24, 2017, against Sep 29, 2017 · owns 50 to 75%
Added K•• H••••• M•••• · Managing Member and Chief Compliance Officer control
filing of Oct 24, 2017, against Sep 29, 2017 · owns 50 to 75%
Removed D••••• B•••••••• A••• · Chief Compliance Officer control
filing of Oct 24, 2017, against Sep 29, 2017 · owns under 5%
Removed I•••••• H•••••••• L•• · Managing Member control
filing of Oct 24, 2017, against Sep 29, 2017 · owns 75% or more · entity

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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

Advisory employees · 0 to 2
Sep 29, 2017 to Oct 24, 2017
BD registered reps · 0 to 2
Sep 29, 2017 to Oct 24, 2017
Employees · 1 to 4
Sep 29, 2017 to Oct 24, 2017
HQ city · ENGLEWOOD to BOZEMAN
Sep 29, 2017 to Oct 24, 2017
HQ state · NJ to MT
Sep 29, 2017 to Oct 24, 2017

Full history · 9 changes

State-registered IARs · 0 to 2
Sep 29, 2017 to Oct 24, 2017
Other offices · unset to 0.0
Sep 29, 2017 to Oct 24, 2017
Business name · A•••••• A•••••••• L•• to E••••••••• L••
Oct 24, 2017 to Oct 24, 2017
Legal name · A•••••• A•••••••• L•• to E••••••••• L••
Oct 24, 2017 to Oct 24, 2017

Signals

1 dated events

••• Locked
Sep 25, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

1 earlier address on Form ADV filings, the earliest seen Oct 24, 2017

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

Not yet on record: private clients.