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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A•••• G•••• C•••••• L••
Latest filing Jan 22, 2019
First filing on the tape Oct 10, 2017 · 5 filings
RAUM
$252M
reported, Item 5.F
Discretionary
23%
of RAUM
Private clients
100%
$252M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$252M as of Jan 22, 2019
Feb 14, 2018$290M then
HNW client RAUM: $252M
State-registered IARs (5.B.3)2 as of Jan 22, 2019
Feb 14, 20182 then
Employees (5.A)2 as of Jan 22, 2019
Feb 14, 20182 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 22, 2019; every figure names its basis
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $19.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 23%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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
- High-net-worth individuals$252M100%
- Individual clients
- 0reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• P•••• S•••• · Managing Member & Chief Compliance Officercontrolsince 07/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 4 to 13Feb 14, 2018 to Jan 22, 2019
- Charity clients · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- Corporate clients · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- HNW clients · unset to 25.0Feb 14, 2018 to Jan 22, 2019
- Individual clients · 4 to 0Feb 14, 2018 to Jan 22, 2019
- Pension plan clients · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- Pooled vehicle clients · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- Discretionary RAUM · $250M to $57.0MFeb 14, 2018 to Jan 22, 2019
- HNW RAUM · unset to 252000000.0Feb 14, 2018 to Jan 22, 2019
- Individual RAUM · $290M to $0Feb 14, 2018 to Jan 22, 2019
- Non-discretionary RAUM · $40.0M to $195MFeb 14, 2018 to Jan 22, 2019
- Pension RAUM · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- Pooled vehicle RAUM · unset to 0.0Feb 14, 2018 to Jan 22, 2019
- RAUM · $290M to $252MFeb 14, 2018 to Jan 22, 2019
- Accounts · 0 to 4Jan 5, 2018 to Feb 14, 2018
- Individual clients · unset to 4.0Jan 5, 2018 to Feb 14, 2018
- Discretionary RAUM · $0 to $250MJan 5, 2018 to Feb 14, 2018
- Individual RAUM · unset to 290000000.0Jan 5, 2018 to Feb 14, 2018
- Non-discretionary RAUM · $0 to $40.0MJan 5, 2018 to Feb 14, 2018
- RAUM · $0 to $290MJan 5, 2018 to Feb 14, 2018
- Advisory employees · 1 to 2Dec 18, 2017 to Jan 5, 2018
- Employees · 1 to 2Dec 18, 2017 to Jan 5, 2018
- State-registered IARs · 1 to 2Dec 18, 2017 to Jan 5, 2018
Signals
1 dated events
- A•••• G•••• C•••••• L•• filed its initial SEC registration (Form ADV)Oct 10, 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