DFX Intelligence
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C••••••• I••••••••• M••••••••• I•••
Asset manager (funds and pooled vehicles), based in Greenwood Village, Colorado, reporting $323M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $323M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 339872 · SEC 801-135425 · 2 filingsShowHide
CRD 339872SEC 801-135425First filing on the tape Feb 27, 2026, latest Jun 26, 2026SEC status approved since Feb 27, 2026IAPD
RAUM
$323M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$323M as of Jun 26, 2026
Feb 27, 2026$0 then
HNW client RAUM$0 as of Jun 26, 2026
Feb 27, 2026$0 then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Feb 27, 20260 then
Employees (5.A)5 as of Jun 26, 2026
Feb 27, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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)
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$227M70%
- Banks and thrifts$96.7M30%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 128reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••••••• D••• · Director, Ceo, President, Chief Compliance Officer, Treasurercontrolsince 11/2025 · owns less than 5%
- B••••••••• S•••••• L• · Directorcontrolsince 11/2025 · owns less than 5%
- S••••••• J•••••• D• · Director, Chief Investment Officer, Sr. Vpcontrolsince 11/2025 · owns less than 5%
- W•••••• E•••• L•••• · Directorcontrolsince 11/2025 · owns less than 5%
- W•••••• M••••••• S• · Directorcontrolsince 11/2025 · owns less than 5%
Entity owners
- A•• N••••••• C•••• · Shareholderdirect · 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
- Accounts · 0 to 128Feb 27, 2026 to Jun 26, 2026
- Advisory employees · 3 to 4Feb 27, 2026 to Jun 26, 2026
- Discretionary RAUM · $0 to $323MFeb 27, 2026 to Jun 26, 2026
- RAUM · $0 to $323MFeb 27, 2026 to Jun 26, 2026
Signals
No event on the tape.
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
- ••• Lockedreportedpublic record, Form ADV, Jun 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 26, 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
- Asset manager (funds and pooled vehicles)deriveda 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