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Former SEC-registered adviser

C•••••• P••• P•••••••• I•••

Former SEC-registered adviserDenver, ColoradoCRD 300020SEC 801-114544IAPD
Latest filing May 17, 2019
First filing on the tape Dec 7, 2018 · 4 filings
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$101M gross assets
History
4 filings and snapshots on the tape
RAUM$101M as of May 17, 2019
Mar 30, 2019$63.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 17, 2019
Dec 7, 20180 then
Employees (5.A)8 as of May 17, 2019
Dec 7, 20187 then
Private funds2 as of May 17, 2019
Dec 7, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 17, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$50.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$101M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$101M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$101M for 2 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• P••• P••••••• F••• I• L•••Private Equity Fund$99.9M8Dec 7, 2018
      C•••••• P••• P••••••• F••• I••• L•••Private Equity Fund$1.0M1Dec 7, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••• G••••• L••••• · Director And Chairmancontrol
        since 05/2017 · owns 75% or more
      • F•••••• E•••••• F•••• · President
        since 05/2017 · owns less than 5%
      • M••••• C••••••••• T•••••• A•• · Cco/Cfo
        since 09/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• P••• P••••••• G• I• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 7
        Mar 30, 2019 to May 17, 2019
      • Assets in custody · $63.7M to $101M
        Mar 30, 2019 to May 17, 2019
      • Employees · 7 to 8
        Mar 30, 2019 to May 17, 2019
      • Discretionary RAUM · $63.7M to $101M
        Mar 30, 2019 to May 17, 2019
      • Pooled vehicle RAUM · $63.7M to $101M
        Mar 30, 2019 to May 17, 2019
      • RAUM · $63.7M to $101M
        Mar 30, 2019 to May 17, 2019
      • Accounts · unset to 2.0
        Dec 14, 2018 to Mar 30, 2019
      • Assets in custody · $0 to $63.7M
        Dec 14, 2018 to Mar 30, 2019
      • Discretionary RAUM · unset to 63731000.0
        Dec 14, 2018 to Mar 30, 2019
      • Non-discretionary RAUM · unset to 0.0
        Dec 14, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $0 to $63.7M
        Dec 14, 2018 to Mar 30, 2019
      • RAUM · unset to 63731000.0
        Dec 14, 2018 to Mar 30, 2019
      Signals
      1 dated events
      • C•••••• P••• P•••••••• I••• filed its initial SEC registration (Form ADV)
        Dec 7, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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