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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

CRD 128013

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc72da61-76ec-2317-6a08-3cecea7bf5aa

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2013
4 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $107MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $107M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Accounts: 379
Custody, client assets: $0
SEC number: 801-62285
CRD: 128013
Filings on the tape: 4
First filed: Mar 30, 2012
Latest filed: Mar 28, 2013
Organised: Corporation, Colorado

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
FIRST WESTERN TALF LLC	Other Private Fund	$803,587	Nov 20, 2012	7	Mar 30, 2012	reported	n/a

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
FIRST WESTERN FINANCIAL, INC.	Shareholder	E	yes	07/2003	Mar 30, 2012	Mar 28, 2013
GARCIA, KAREN, LOUISE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2005	Mar 30, 2012	Mar 28, 2013
OLSEN, WARREN, JOSEPH	CHAIRMAN, CEO	Na	yes	07/2003	Mar 30, 2012	Mar 28, 2013
POST, KAREN, SUE	VICE PRESIDENT	Na	yes	07/2003	Mar 30, 2012	Mar 28, 2013
WYLIE, SCOTT, C	VICE CHAIRMAN	Na	yes	07/2003	Mar 30, 2012	Mar 28, 2013
COURKAMP, JULIE	Treasurer	Na	no	07/2009	Mar 30, 2012	Mar 28, 2013
SIMNIONIW, LENE	Secretary	Na	no	07/2009	Mar 30, 2012	Mar 28, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FIRST WESTERN CAPITAL MANAGEMENT COMPANY	n/a	Former SEC adviser	$962M	N	yes	n/a
FIRST WESTERN MERGER CORP	n/a	n/a	n/a	N	yes	n/a
FIRST WESTERN TRUST BANK	n/a	n/a	n/a	N	yes	n/a

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
2012	Mar 28, 2013	$107M	$107M	2	1	n/a	n/a	n/a
2011	Mar 30, 2012	$500M	$454M	n/a	n/a	n/a	1	$803,587

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
2012	$107M	$500M	-78.6%	n/a	n/a	2	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ FIRST WESTERN CAPITAL MANAGEMENT COMPANYRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← WYLIE, SCOTT, COwnerVICE CHAIRMAN, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← GARCIA, KAREN, LOUISEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← OLSEN, WARREN, JOSEPHOwnerCHAIRMAN, CEO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← POST, KAREN, SUEOwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FIRST WESTERN FINANCIAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← SIMNIONIW, LENEOwnerSECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← COURKAMP, JULIEOwnerTREASURER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Advises (1)

→ FIRST WESTERN TALF LLCPrivate fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV

Registered with (8)

← GLENN STEVEN GOODSTEINAdvisorregistration: previous registration
Nov 13, 2009 to Nov 20, 2012factForm ADV
← STEVEN PAUL STEINBERGAdvisorregistration: previous registration
Sep 24, 2009 to Jun 19, 2012factForm ADV
← WAYNE SCOTT WOODMANAdvisorregistration: previous registration
Sep 24, 2009 to May 23, 2012factForm ADV
← DAVID LARRY KAHNAdvisorregistration: previous registration
Sep 24, 2009 to May 18, 2012factForm ADV
← TIMOTHY JOHN WAHLAdvisorregistration: previous registration
Sep 24, 2009 to May 3, 2012factForm ADV
← DANIEL CHRISTOPHER THOMPSONAdvisorregistration: previous registration
Oct 7, 2010 to Dec 2, 2011factForm ADV
← BARRY PHILIP JULIENAdvisorregistration: previous registration
Sep 24, 2009 to May 19, 2010factForm ADV
← JOHN EDWARD DEWEYAdvisorregistration: previous registration
Feb 24, 2010 to May 19, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc72da61-76ec-2317-6a08-3cecea7bf5aa
First observed: Mar 30, 2012
Last observed: Mar 28, 2013 164 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.

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

CRD 128013

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc72da61-76ec-2317-6a08-3cecea7bf5aa

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FIRST WESTERN TALF LLC

Other Private Fund

$803,587

Nov 20, 2012

Mar 30, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIRST WESTERN FINANCIAL, INC.

Shareholder

yes

07/2003

Mar 30, 2012

Mar 28, 2013

GARCIA, KAREN, LOUISE

CHIEF COMPLIANCE OFFICER

yes

01/2005

Mar 30, 2012

Mar 28, 2013

OLSEN, WARREN, JOSEPH

CHAIRMAN, CEO

yes

07/2003

Mar 30, 2012

Mar 28, 2013

POST, KAREN, SUE

VICE PRESIDENT

yes

07/2003

Mar 30, 2012

Mar 28, 2013

WYLIE, SCOTT, C

VICE CHAIRMAN

yes

07/2003

Mar 30, 2012

Mar 28, 2013

COURKAMP, JULIE

Treasurer

07/2009

Mar 30, 2012

Mar 28, 2013

SIMNIONIW, LENE

Secretary

07/2009

Mar 30, 2012

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST WESTERN CAPITAL MANAGEMENT COMPANY

n/a

Former SEC adviser

$962M

yes

n/a

FIRST WESTERN MERGER CORP

n/a

yes

n/a

FIRST WESTERN TRUST BANK

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$107M

n/a

2011

Mar 30, 2012

$500M

$454M

n/a

$803,587

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$107M

$500M

-78.6%

n/a