DFX Intelligence
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L•• I•• M••••••••• L••
Asset manager (funds and pooled vehicles), based in Englewood, Colorado, reporting $336M 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
- $336M
- 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 341093 · SEC 801-136976 · 1 filingsShowHide
CRD 341093SEC 801-136976First filing on the tape Aug 10, 2026, latest Aug 10, 2026SEC status approved since Aug 11, 2026IAPD
RAUM
$336M
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
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $336M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 14
Private funds: 4
Practice profile
derived from the filing of Aug 10, 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
- $84.0MderivedRAUM 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 assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $336M, 4 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$336M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $336M for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• R•• R•••••• C•••••• I•• L•• | Other Private Fund | $145M | 95 | Feb 1, 2024 |
| L•••••• E••••• M••••• R•••••• P••••••• L•• | Other Private Fund | $124M | 100 | May 7, 2026 |
| D•• R•• R•••••• C•••••• I•• S• L•• | Other Private Fund | $52.6M | 65 | May 7, 2026 |
| D•• R•• H••••••• L•• | Other Private Fund | $14.2M | 40 | Feb 1, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••• E••••• · Managing Partnercontrolsince 01/2026 · owns less than 5%
- C••••••• J••••• J••• · Managing Partnercontrolsince 01/2026 · owns less than 5%
- F•••••• C•••••• K••• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- M•••••••• S•••• S•••••• · Managing Partnercontrolsince 01/2026 · owns less than 5%
- R•••••••• J•••••• K•••••••• · Managing Partnercontrolsince 01/2026 · owns less than 5%
Entity owners
- C•••• L•• · Memberdirect · owns 25% to 50%
- F•• C•••• E•••••• L•• · Memberdirect · owns 10% to 25%
- F••••• N•••••• R•••••••• L•• · Memberdirect · owns 25% to 50%
- L•••• P••• E••••• L•• · Memberdirect · owns 25% to 50%
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
One filing, no change to show.
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, Aug 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 10, 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