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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SEC-registered adviser
A•••••••• A•••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jan 10, 2020 · 7 filings
SEC status approved since Feb 7, 2020
RAUM
$224M
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$224M as of Mar 25, 2026
Mar 31, 2021$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 31, 20210 then
Employees (5.A)5 as of Mar 25, 2026
Mar 31, 20215 then
Private funds: no history
RAUM +15% over the last fiscal year+3.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $224MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween 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
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$224M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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••••••• S•••••• S•••••• · Ceocontrolsince 01/2020 · owns less than 5%
- G••••• R••••••• A•••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- C••••••• D••••• J••• · Managing Membercontrolsince 01/2020 · owns 50% to 75% of A•••••••• C••••••• H•••••••
Entity owners
- A•••••••• I••••••••• H••••••• · Direct Ownerdirect · owns 75% or more
- A•••••••• C••••••• H••••••• · Ownerindirect · owns 75% or more of A•••••••• I••••••••• H•••••••
Related persons
Schedule D 7.A
- 3•• F••••••• L••investment adviseryRAUM $104M
- A•••••••• C••••••• H••••••• L••investment advisery
Advisers that list A•••••••• A•••• M••••••••• L•• as a related person
- 149120 y
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $195M to $224MMar 31, 2025 to Mar 25, 2026
- RAUM · $195M to $224MMar 31, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $197M to $195MMar 1, 2024 to Mar 31, 2025
- RAUM · $197M to $195MMar 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $205M to $197MMar 31, 2023 to Mar 1, 2024
- RAUM · $205M to $197MMar 31, 2023 to Mar 1, 2024
- Business name · I••••••••• A•••••• to A•••••••• A•••• M••••••••• L••Mar 28, 2022 to Mar 31, 2023
- Legal name · STONECASTLE-A•••••••• A•••• M••••••••• L•• to A•••••••• A•••• M••••••••• L••Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $154M to $205MMar 28, 2022 to Mar 31, 2023
- RAUM · $154M to $205MMar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $142M to $154MMar 31, 2021 to Mar 28, 2022
- RAUM · $142M to $154MMar 31, 2021 to Mar 28, 2022
- Discretionary RAUM · $145M to $142MJan 10, 2020 to Mar 31, 2021
- RAUM · $145M to $142MJan 10, 2020 to Mar 31, 2021
Signals
1 dated events
- I••••••••• A•••••• filed its initial SEC registration (Form ADV)Jan 10, 2020 · 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.
How to reach
public business contact points only, each with its source
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-398-2929reportedpublic record, Form ADV, Mar 25, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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