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Former SEC-registered adviserFormer SEC adviser· Boulder, Colorado

Former SEC-registered adviser, based in Boulder, Colorado, reporting $473M of regulatory assets.

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

As of 2024-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $473M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +2.2%
Private clients: 17% of RAUM, $82.7M

Advisors Advisor movement Where the RAUM sits

As of 2024-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 307858 · SEC 801-118396 · 9 filingsShow

CRD 307858SEC 801-118396First filing on the tape Mar 9, 2020, latest Mar 27, 2024IAPD

RAUM

$473M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

17%

$82.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$473M as of Mar 27, 2024

Mar 29, 2021$770M then

HNW client RAUM$82.6M as of Mar 27, 2024

Mar 29, 2021$767M then

State-registered IARs (5.B.3)1 as of Mar 27, 2024

Mar 29, 20213 then

Employees (5.A)7 as of Mar 27, 2024

Mar 29, 20217 then

Private funds: no history

RAUM +2.2% over the last fiscal year-15% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 27, 2024; every figure names its basis

RAUM per advisor: $473MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 5derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $27.5MderivedHNW RAUM over HNW clients
Average account: $4.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 7.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $252M, 6 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)
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)
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

High-net-worth individuals$82.6M100%
Individuals$96,9570.1%

Individual clients: 2reported
HNW clients: 3reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 100reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $252M for 6 clientsreported
Compensation: 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

E•••••••• B•••••• D••••• to M••••• G••••• A••••••• I•••
Jan 31, 2023 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• G••••• M•••••• · Chief Compliance Officercontrol
since 01/2020 · owns less than 5%
P•••• A••••••••• F•••••••• · Chief Executive Officercontrol
since 01/2020 · owns 75% or more

Related persons

Schedule D 7.A

W••••••••• T•••• C•••••• L••
n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 92 to 100
Jun 6, 2023 to Mar 27, 2024
Assets in custody · $234M to $252M
Jun 6, 2023 to Mar 27, 2024
Employees · 8 to 7
Jun 6, 2023 to Mar 27, 2024
Discretionary RAUM · $463M to $473M
Jun 6, 2023 to Mar 27, 2024
HNW RAUM · $66.5M to $82.6M
Jun 6, 2023 to Mar 27, 2024
Individual RAUM · $38,415 to $96,957
Jun 6, 2023 to Mar 27, 2024
RAUM · $463M to $473M
Jun 6, 2023 to Mar 27, 2024
Accounts · 87 to 92
Mar 31, 2022 to Mar 28, 2023
Advisory employees · 6 to 7
Mar 31, 2022 to Mar 28, 2023
Charity clients · unset to 0.0
Mar 31, 2022 to Mar 28, 2023
Corporate clients · unset to 0.0
Mar 31, 2022 to Mar 28, 2023
Individual clients · 1 to 2
Mar 31, 2022 to Mar 28, 2023
Pension plan clients · unset to 0.0
Mar 31, 2022 to Mar 28, 2023
Pooled vehicle clients · unset to 0.0
Mar 31, 2022 to Mar 28, 2023
Assets in custody · $289M to $234M
Mar 31, 2022 to Mar 28, 2023
Employees · 7 to 8
Mar 31, 2022 to Mar 28, 2023
State-registered IARs · 3 to 1
Mar 31, 2022 to Mar 28, 2023
Discretionary RAUM · $527M to $463M
Mar 31, 2022 to Mar 28, 2023
HNW RAUM · $134M to $66.5M
Mar 31, 2022 to Mar 28, 2023
Individual RAUM · $1,982 to $38,415
Mar 31, 2022 to Mar 28, 2023
RAUM · $527M to $463M
Mar 31, 2022 to Mar 28, 2023
Accounts · 105 to 87
Mar 29, 2021 to Mar 31, 2022
HNW clients · 4 to 3
Mar 29, 2021 to Mar 31, 2022
Individual clients · 11 to 1
Mar 29, 2021 to Mar 31, 2022
Assets in custody · $408M to $289M
Mar 29, 2021 to Mar 31, 2022
Financial planning clients · 11-25 to 1-10
Mar 29, 2021 to Mar 31, 2022
Discretionary RAUM · $770M to $527M
Mar 29, 2021 to Mar 31, 2022
HNW RAUM · $767M to $134M
Mar 29, 2021 to Mar 31, 2022
Individual RAUM · $2.1M to $1,982
Mar 29, 2021 to Mar 31, 2022
RAUM · $770M to $527M
Mar 29, 2021 to Mar 31, 2022
Accounts · 39 to 105
Aug 4, 2020 to Mar 29, 2021
HNW clients · 1 to 4
Aug 4, 2020 to Mar 29, 2021
Individual clients · 10 to 11
Aug 4, 2020 to Mar 29, 2021
Assets in custody · $77.4M to $408M
Aug 4, 2020 to Mar 29, 2021
Employees · 6 to 7
Aug 4, 2020 to Mar 29, 2021
State-registered IARs · 2 to 3
Aug 4, 2020 to Mar 29, 2021
Discretionary RAUM · $281M to $770M
Aug 4, 2020 to Mar 29, 2021
HNW RAUM · $279M to $767M
Aug 4, 2020 to Mar 29, 2021
Individual RAUM · $1.8M to $2.1M
Aug 4, 2020 to Mar 29, 2021
RAUM · $281M to $770M
Aug 4, 2020 to Mar 29, 2021

Signals

5 dated events

••• Locked
Mar 28, 2023 · Control person left · inference
••• Locked
Jan 31, 2023 · Advisor changed firm · fact
••• Locked
Mar 31, 2022 · RAUM change · derived
••• Locked
Mar 29, 2021 · RAUM change · derived
••• Locked
Mar 9, 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.

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