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••••• G•••• L••

Former SEC-registered adviserDenver, ColoradoCRD 306278SEC 801-117721IAPD
Latest filing Mar 12, 2024
First filing on the tape Nov 1, 2019 · 19 filings
RAUM
$577M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$574M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$577M as of Mar 12, 2024
Feb 14, 2020$143M then
HNW client RAUM$492M as of Mar 12, 2024
Feb 14, 2020$110M then
State-registered IARs (5.B.3)6 as of Mar 12, 2024
Feb 14, 20200 then
Employees (5.A)8 as of Mar 12, 2024
Feb 14, 20205 then
Private funds: no history
RAUM +39% over the last fiscal year+29% a year over threeIARs 6 to 6offices 4 to 3
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
RAUM per advisor
$96.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
58derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$560,382derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+39%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$307M, 274 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$492M85%
  • Individuals$81.6M14%
  • Charitable organizations$1.8M0.3%
  • Pension and profit-sharing plans$1.5M0.3%
  • Corporations and businesses$404,4200.1%
Individual clients
170reported
HNW clients
177reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,030reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$307M for 274 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• J•••••• N•• · Ccocontrol
    since 05/2023 · owns less than 5%
  • G••••••• G•••••• C•••••• · Managing Membercontrol
    since 10/2019 · owns 50% to 75%
  • S•••••• D••••• J•••••• · Managing Membercontrol
    since 10/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Bozeman, Mt000
Denver, Co · principal000
Las Vegas, Nv000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 890 to 1,030
    May 8, 2023 to Mar 12, 2024
  • Advisory activities · 3 to 4
    May 8, 2023 to Mar 12, 2024
  • Charity clients · 1.0 to unset
    May 8, 2023 to Mar 12, 2024
  • HNW clients · 156 to 177
    May 8, 2023 to Mar 12, 2024
  • Individual clients · 160 to 170
    May 8, 2023 to Mar 12, 2024
  • Assets in custody · $117M to $307M
    May 8, 2023 to Mar 12, 2024
  • Employees · 6 to 8
    May 8, 2023 to Mar 12, 2024
  • Financial planning clients · 51-100 to 251-500
    May 8, 2023 to Mar 12, 2024
  • Discretionary RAUM · $416M to $569M
    May 8, 2023 to Mar 12, 2024
  • HNW RAUM · $347M to $492M
    May 8, 2023 to Mar 12, 2024
  • Individual RAUM · $67.0M to $81.6M
    May 8, 2023 to Mar 12, 2024
  • Non-discretionary RAUM · $0 to $8.2M
    May 8, 2023 to Mar 12, 2024
  • Pension RAUM · unset to 1497116.0
    May 8, 2023 to Mar 12, 2024
  • RAUM · $416M to $577M
    May 8, 2023 to Mar 12, 2024
  • BD registered reps · 1 to 0
    Feb 9, 2023 to May 5, 2023
  • Other offices · 4 to 3
    May 5, 2023 to May 5, 2023
  • Accounts · 739 to 890
    Nov 2, 2022 to Feb 9, 2023
  • HNW clients · 130 to 156
    Nov 2, 2022 to Feb 9, 2023
  • Individual clients · 141 to 160
    Nov 2, 2022 to Feb 9, 2023
  • Assets in custody · unset to 117010903.0
    Nov 2, 2022 to Feb 9, 2023
  • Custody of client assets · false to true
    Nov 2, 2022 to Feb 9, 2023
  • Other offices · 3 to 4
    Nov 2, 2022 to Feb 9, 2023
  • Discretionary RAUM · $400M to $416M
    Nov 2, 2022 to Feb 9, 2023
  • HNW RAUM · $337M to $347M
    Nov 2, 2022 to Feb 9, 2023
  • Individual RAUM · $61.4M to $67.0M
    Nov 2, 2022 to Feb 9, 2023
  • RAUM · $400M to $416M
    Nov 2, 2022 to Feb 9, 2023
  • Other offices · 2 to 3
    Mar 3, 2022 to Nov 2, 2022
  • Accounts · 563 to 739
    Jul 8, 2021 to Mar 3, 2022
  • BD registered reps · 0 to 1
    Jul 8, 2021 to Mar 3, 2022
  • HNW clients · 67 to 130
    Jul 8, 2021 to Mar 3, 2022
  • Individual clients · 119 to 141
    Jul 8, 2021 to Mar 3, 2022
  • Discretionary RAUM · $267M to $400M
    Jul 8, 2021 to Mar 3, 2022
  • HNW RAUM · $193M to $337M
    Jul 8, 2021 to Mar 3, 2022
  • Individual RAUM · $71.6M to $61.4M
    Jul 8, 2021 to Mar 3, 2022
  • RAUM · $267M to $400M
    Jul 8, 2021 to Mar 3, 2022
  • BD registered reps · 1 to 0
    Jul 8, 2021 to Jul 8, 2021
  • Accounts · 405 to 563
    Dec 9, 2020 to Mar 8, 2021
  • Advisory employees · 5 to 6
    Dec 9, 2020 to Mar 8, 2021
  • Charity clients · unset to 1.0
    Dec 9, 2020 to Mar 8, 2021
  • HNW clients · 49 to 67
    Dec 9, 2020 to Mar 8, 2021
Signals
15 dated events
  • G••••• C•••••• G•••••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-08-07)
    Aug 28, 2024 · Advisor changed firm · fact
  • J••••• N•• F••••••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-07-31)
    Aug 28, 2024 · Advisor changed firm · fact
  • D•••• J•••••• S••••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-07-30)
    Aug 28, 2024 · Advisor changed firm · fact
  • R•••••• E• N•••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-07-30)
    Aug 28, 2024 · Advisor changed firm · fact
  • S•••• P•••••• W•••••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-07-31)
    Aug 28, 2024 · Advisor changed firm · fact
  • R•••• W••••• G•••• L••'s advisors moved to R•••••••• S••••••• (Denver, CO): 4 of 5 registered, on the same day
    Aug 28, 2024 · Firm absorbed (people side) · derived
  • D••••• L•••• S•••••• left R•••• W••••• G•••• L•• for A•••••• W••••• G•••• (registered 2024-07-22)
    Jul 19, 2024 · Advisor changed firm · fact
  • E•••••••• M••• S••••••••• left R•••• W••••• G•••• L•• for F•••••••• C•••••• M••••••••• L•• (registered 2024-04-12)
    Apr 23, 2024 · Advisor changed firm · fact
  • R•••• W••••• G•••• L•• reported RAUM $577.2M, up 39% from $415.6M (2023-05-08 to 2024-03-12)
    Mar 12, 2024 · RAUM change · derived
  • L••••• S••••• Y•••• left R•••• W••••• G•••• L•• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2024-02-22)
    Feb 20, 2024 · Advisor changed firm · fact
  • Joshua Freedman (Cco) appeared on Schedule A of R•••• W••••• G•••• L••
    May 5, 2023 · Control person joined · fact
  • L•••• D••••• S•••••• (Cco) no longer on Schedule A of R•••• W••••• G•••• L•• (listed 2023-02-09, absent 2023-05-05)
    May 5, 2023 · Control person left · inference
  • R•••• W••••• G•••• L•• reported RAUM $399.8M, up 50% from $266.9M (2021-07-08 to 2022-03-03)
    Mar 3, 2022 · RAUM change · derived
  • R•••• W••••• G•••• L•• reported RAUM $266.9M, up 87% from $142.9M (2020-12-09 to 2021-03-08)
    Mar 8, 2021 · RAUM change · derived
  • R•••• W••••• G•••• L•• filed its initial SEC registration (Form ADV)
    Nov 1, 2019 · 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