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
H••• W••••• L••
Latest filing Apr 30, 2025
First filing on the tape Nov 26, 2024 · 5 filings
SEC status 120-day approval since Jan 10, 2025
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Apr 30, 2025
Jan 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Apr 30, 2025
Jan 17, 20252 then
Employees (5.A)4 as of Apr 30, 2025
Jan 17, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- 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
Left, latest
- B•••• C••••• H••••• to M•••••• W••••• M•••••••••Sep 15, 2025 · Other
- M•••••• C• P•••••• to M•••••• W••••• M•••••••••Sep 15, 2025 · Other
- N••••••• J••• C••• to M•••••• W••••• M•••••••••Sep 15, 2025 · Other
- J•••• A•••• C•••• to M•••••• W••••• M•••••••••Sep 15, 2025 · Other
Joined, latest
- B•••• C••••• H••••• from B•••••• C•••••• M••••••••• L••Feb 19, 2025 · Other
- N••••••• J••• C••• from M••••• F••• W••••• M••••••••• L••Jan 23, 2025 · RIA to a newly registered adviser
- M•••••• C• P•••••• from M••••• F••• W••••• M••••••••• L••Jan 21, 2025 · RIA to a newly registered adviser
- J•••• A•••• C•••• from M••••• F••• W••••• M••••••••• L••Jan 21, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M•••••• W••••• M•••••••••Sep 15, 2025 · Denver, Co · Firm absorbed
- 2 joined from M••••• F••• W••••• M••••••••• L••Feb 12, 2025 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• N•••••••• J••• · Managing Member And Ccocontrolsince 11/2024 · owns 50% to 75%
- H•••••• B••••• C• · Managing Membercontrolsince 11/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
- M••••• F••• A•••• M•••••••••investment advisern
- M••••• F••• V•••••••investment advisern
- M••••• F••• W••••• M••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co | 0 | 0 | 0 | ||
| Golden, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Feb 19, 2025 to Apr 30, 2025
- Employees · 2 to 4Feb 19, 2025 to Apr 30, 2025
- State-registered IARs · 2 to 4Feb 19, 2025 to Apr 30, 2025
- Other offices · 1 to 3Feb 19, 2025 to Apr 30, 2025
- HQ city · unset to Dec 13, 2024 to Jan 17, 2025
- HQ state · unset to Dec 13, 2024 to Jan 17, 2025
- Related adviser · true to falseDec 13, 2024 to Jan 17, 2025
- Related adviser · false to trueNov 26, 2024 to Dec 13, 2024
Signals
8 dated events
- J•••• A•••• C•••• left H••• W••••• L•• for M•••••• W••••• M••••••••• (registered 2025-07-15)Sep 15, 2025 · Advisor changed firm · fact
- H••• W••••• L••'s advisors moved to M•••••• W••••• M••••••••• (Denver, CO): 4 of 4 registered, on the same daySep 15, 2025 · Firm absorbed (people side) · derived
- N••••••• J••• C••• left H••• W••••• L•• for M•••••• W••••• M••••••••• (registered 2026-04-09)Sep 15, 2025 · Advisor changed firm · fact
- M•••••• C• P•••••• left H••• W••••• L•• for M•••••• W••••• M••••••••• (registered 2025-07-15)Sep 15, 2025 · Advisor changed firm · fact
- B•••• C••••• H••••• left H••• W••••• L•• for M•••••• W••••• M••••••••• (registered 2025-07-15)Sep 15, 2025 · Advisor changed firm · fact
- H••• W••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01)Aug 1, 2025 · Left the SEC roster · derived
- 2 advisors left M••••• F••• W••••• M••••••••• L•• (Denver, CO) for H••• W••••• L•• on the same dayFeb 12, 2025 · Team lift-out · derived
- H••• W••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 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.
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