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••• A•••• M•••••••••
Legal name R•••• M••••••• L••• A•••• M••••••••• L••
Latest filing Jan 27, 2025
First filing on the tape Jul 22, 2024 · 9 filings
SEC status 120-day approval since Aug 23, 2024
RAUM
$25.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.6M
derived; firm RAUM over IAPD count
Employees
3
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$25.2M as of Jan 27, 2025
Jul 22, 2024$0 then
HNW client RAUM: $22.6M
State-registered IARs (5.B.3)1 as of Jan 27, 2025
Jul 22, 20241 then
Employees (5.A)3 as of Jan 27, 2025
Jul 22, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 27, 2025; every figure names its basis
- RAUM per advisor
- $12.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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 assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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$22.6M89%
- Individuals$2.7M11%
- Individual clients
- 8reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A•••••• S••••• | Englewood, Co | Sep 6, 2024 | 34 y | 4 |
| B••••••• D•••• S••••• | Englewood, Co | Jul 17, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
Joined, latest
- R••••• A•••••• S••••• from E••••• J••••Sep 6, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• R•••••• A•••••• · Managing Member And Chief Compliance Officercontrolsince 07/2024 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Englewood, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Englewood, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 18Dec 6, 2024 to Jan 27, 2025
- HNW clients · unset to 10.0Dec 6, 2024 to Jan 27, 2025
- Individual clients · unset to 8.0Dec 6, 2024 to Jan 27, 2025
- Employees · 2 to 3Dec 6, 2024 to Jan 27, 2025
- Discretionary RAUM · $0 to $25.2MDec 6, 2024 to Jan 27, 2025
- HNW RAUM · unset to 22570000.0Dec 6, 2024 to Jan 27, 2025
- Individual RAUM · unset to 2659154.0Dec 6, 2024 to Jan 27, 2025
- RAUM · $0 to $25.2MDec 6, 2024 to Jan 27, 2025
- Other offices · 0 to 1Nov 7, 2024 to Dec 6, 2024
- Employees · 1 to 2Sep 12, 2024 to Nov 7, 2024
- Legal name · L••• A•••• M••••••••• LLC to ROCKY MOUNTAIN L••• A•••• M••••••••• LLCJul 22, 2024 to Jul 23, 2024
Signals
2 dated events
- L••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $25.2M)May 2, 2025 · Left the SEC roster · derived
- L••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Jul 22, 2024 · 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
- liftassetmanagent.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026