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

L•••• H•••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 324416SEC 801-127336IAPD
Latest filing Jul 24, 2023
First filing on the tape Jan 13, 2023 · 6 filings
RAUM
$65.0M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$65.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$65.0M as of Jul 24, 2023
Jun 2, 2023$65.0M then
HNW client RAUM$65.0M as of Jul 24, 2023
Jun 2, 2023$65.0M then
State-registered IARs (5.B.3)1 as of Jul 24, 2023
Jan 13, 20231 then
Employees (5.A)1 as of Jul 24, 2023
Jan 13, 20231 then
Private funds: no history
Practice profile
derived from the filing of Jul 24, 2023; every figure names its basis
RAUM per advisor
$65.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$706,522derivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$65.0M100%
Individual clients
n/areported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
92reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••••• E••••• N•••••Certified Financial PlannerDenver, CoJan 26, 202622 y2
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N•••••• B••••••• E••••• · Managing Member/Ccocontrol
      since 11/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 1 to 2
      Jun 2, 2023 to Jul 10, 2023
    • Assets in custody · 200000.0 to unset
      Jun 2, 2023 to Jul 10, 2023
    • Custody of client assets · true to false
      Jun 2, 2023 to Jul 10, 2023
    • Accounts · unset to 92.0
      Jan 30, 2023 to Jun 2, 2023
    • HNW clients · unset to 19.0
      Jan 30, 2023 to Jun 2, 2023
    • Assets in custody · unset to 200000.0
      Jan 30, 2023 to Jun 2, 2023
    • Custody of client assets · false to true
      Jan 30, 2023 to Jun 2, 2023
    • Discretionary RAUM · unset to 63000000.0
      Jan 30, 2023 to Jun 2, 2023
    • HNW RAUM · unset to 65000000.0
      Jan 30, 2023 to Jun 2, 2023
    • Non-discretionary RAUM · unset to 2000000.0
      Jan 30, 2023 to Jun 2, 2023
    • RAUM · unset to 65000000.0
      Jan 30, 2023 to Jun 2, 2023
    • Business name · L•••• H•••• W••••• M••••••••• L•• to L•••• H•••• W••••• M••••••••• L••
      Jan 13, 2023 to Jan 30, 2023
    • Legal name · L•••• H•••• W••••• M••••••••• L•• to L•••• H•••• W••••• M••••••••• L••
      Jan 13, 2023 to Jan 30, 2023
    Signals
    1 dated events
    • L•••• H•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 13, 2023 · 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
    $65.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026