DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

U•••••• W••••• P•••••••

U•••••• W••••• P••••••• LLC, CRD 332317

DENVER, CO

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Search this name across graphsid dfx:ria:929777ba-6145-8d93-f0cb-b2f49a002a46

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 22
On other graphs: 0
Observed: Aug 29, 2024 to Aug 26, 2026
14 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=0.85 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $935M••• Locked
Discretionary RAUM: $929M
Private client RAUM: $795Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 16
RAUM per advisor: $58.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K••• K•••	Certified Financial Planner	Bradford, PA \| DENVER, CO \| OLEAN, NY	4	10	n/a	yes
K•••• K••••••• M•••••••	Chartered Financial Consultant	ODESSA, TX \| DENVER, CO	1	43

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• W••••• A•••••••• L••	Owner	C	yes	03/2026	Aug 26, 2026	Aug 26, 2026
H•••••• J••• W••••••	MANAGING PARTNER	Na	yes	08/2024	Aug 26, 2026	Aug 26, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•• R•••• W••••• M••••••••• L••	n/a	Independent wealth	$971M	N	yes	n/a
W••• A••••••• S•••••••• L••	n/a	Former SEC adviser	$0	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Odessa	TX	United States	3	no
BELLA VISTA	Ar	United States	2	no
n/a	n/a	n/a	1	no
Rogers	Ar	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	0	4	0.0%	1	0	0	13	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$935M	$545M	71.6%	n/a	n/a	23	11	5	4

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N•••••• W•••••• L••	2	Jun 30, 2025	Jun 25, 2025	ROCHESTER, NY	Team lift out	RIA to RIA	15.4%
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	5	Oct 9, 2024	Jan 1, 2026

Relationships

Registered with (17)

← K••• K•••Advisorregistration: current employment
Sep 17, 2026 to presentfactForm ADV
← B•• R••• M••••••••Advisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← D••• L•••• C••••••Advisorregistration: current employment
Jun 25, 2026 to presentfactForm ADV
← A••••• C•••••••• M•••••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 26, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 26, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 26, 2026
Ria majority owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:929777ba-6145-8d93-f0cb-b2f49a002a46
First observed: Aug 29, 2024
Last observed: Aug 26, 2026 28 days 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.