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I••••••• P•••••• W•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

I••••••• P•••••• W•••••• L••

CRD 317727

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Search this name across graphsid dfx:ria:185d982a-3ad2-d3ae-8c05-6edf4b1f518e

Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 12
On other graphs: 0
Observed: Apr 11, 2022 to Mar 2, 2026
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $1.7BItem 5.F on the latest filing (2026-03-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.7B
Private client RAUM: $1.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• S•••• C•••••	Certified Financial Planner	DENVER, CO	4	16	2	yes
S••••• V••••••• L•••	Certified Financial Planner	DENVER, CO	2	12

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J•••• M•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2023	Mar 2, 2026	Mar 2, 2026
C•••••• M••••••• S••••	MANAGING MEMBER	E	yes	05/2022	Mar 2, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.7B	$1.4B	26.5%	$814M	28.2%	6	4	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
U•• F•••••••• S••••••• I•••	3	Jun 1, 2022	Jun 25, 2024	DENVER, CO	Team lift out	Wirehouse to new firm	0.0%

Relationships

Registered with (4)

← S••••• V••••••• L•••Advisorregistration: current employment
Jun 25, 2024 to presentfactForm ADV
← M•••••• S•••• C•••••Advisorregistration: current employment
May 19, 2022 to presentfactForm ADV
← Joanna HootnickAdvisorregistration: previous registration
Apr 22, 2025 to Aug 1, 2025factForm ADV
← JESSICA K. MARGETSON

Dated events

Occurred
Mar 2, 2026
Regulatory AUM changed
I••••••• P•••••• W•••••• L•• reported RAUM $1.7B, up 26% from $1.4B (2025-09-10 to 2026-03-02)
Form ADVobserved 6 days ago
$359M
Occurred
Aug 1, 2025
Advisor changed firm
Joanna Hootnick left I••••••• P•••••• W•••••• L•• for Curi Capital, Llc (registered 2025-08-11)
Form ADVobserved 6 days ago
Occurred
Feb 27, 2025
Regulatory AUM changed
I••••••• P•••••• W•••••• L•• reported RAUM $1.4B, up 26% from $1.1B (2024-11-05 to 2025-02-27)
Form ADVobserved 6 days ago
$283M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:185d982a-3ad2-d3ae-8c05-6edf4b1f518e
First observed: Apr 11, 2022
Last observed: Mar 2, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.