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

E•••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 326976SEC 801-128803IAPD
Latest filing Feb 29, 2024
First filing on the tape Aug 30, 2023 · 9 filings
RAUM
$18.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$18.0M as of Feb 29, 2024
Aug 30, 2023$0 then
HNW client RAUM: $15.0M
State-registered IARs (5.B.3)1 as of Feb 29, 2024
Aug 30, 20231 then
Employees (5.A)1 as of Feb 29, 2024
Aug 30, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 29, 2024; every figure names its basis
RAUM per advisor
$18.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$562,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
0.5derived2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$15.0M83%
  • Individuals$3.0M17%
Individual clients
8reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
32reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
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
    • C•••••• M••••••• S•••••• · Managing Member And Chief Compliance Officercontrol
      since 05/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Chicago, Il0021
    Morrison, Co001
    Offices
    Schedule D 1.F, the 25 largest
    • Denver, CO1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 32
      Jan 10, 2024 to Feb 29, 2024
    • Charity clients · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • Corporate clients · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • HNW clients · unset to 8.0
      Jan 10, 2024 to Feb 29, 2024
    • Individual clients · unset to 8.0
      Jan 10, 2024 to Feb 29, 2024
    • Pension plan clients · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • Pooled vehicle clients · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • Other offices · 2 to 1
      Jan 10, 2024 to Feb 29, 2024
    • Discretionary RAUM · $0 to $18.0M
      Jan 10, 2024 to Feb 29, 2024
    • HNW RAUM · unset to 15000000.0
      Jan 10, 2024 to Feb 29, 2024
    • Individual RAUM · unset to 3000000.0
      Jan 10, 2024 to Feb 29, 2024
    • Pension RAUM · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Jan 10, 2024 to Feb 29, 2024
    • RAUM · $0 to $18.0M
      Jan 10, 2024 to Feb 29, 2024
    • Other offices · 1 to 2
      Dec 4, 2023 to Dec 21, 2023
    • Other offices · 0 to 1
      Oct 18, 2023 to Dec 4, 2023
    • Succession · true to false
      Oct 18, 2023 to Dec 4, 2023
    • Succession · false to true
      Sep 29, 2023 to Oct 18, 2023
    • Advisory activities · 1 to 2
      Aug 30, 2023 to Sep 29, 2023
    • Financial planning clients · unset to 0
      Aug 30, 2023 to Sep 29, 2023
    Signals
    6 dated events
    • M•••••• T••••• left E•••••••• W••••• M••••••••• L•• for X••••••• A•••••• P••••••• L•• (registered 2025-03-10)
      Nov 17, 2025 · a•••••• firm change · fact
    • C•••• M•••• B••••••• left E•••••••• W••••• M••••••••• L•• for X••••••• A•••••• P••••••• L•• (registered 2025-03-10)
      Nov 17, 2025 · a•••••• firm change · fact
    • M•••••• S•••••• C••••• left E•••••••• W••••• M••••••••• L•• for X••••••• A•••••• P••••••• L•• (registered 2025-03-10)
      Nov 17, 2025 · a•••••• firm change · fact
    • 2 advisors left E•••••••• W••••• M••••••••• L•• (Chicago, IL) for X••••••• A•••••• P••••••• L•• on the same day
      Nov 17, 2025 · Team lift-out · derived
    • E•••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Oct 18, 2023 · Succession (Item 4) · fact
    • E•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 30, 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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026