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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

WAMBOLT & ASSOCIATES, LLC

CRD 153454

LITTLETON, 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:cee35f2d-9e9f-d81a-8d8f-d40c9a45500e

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 18
On other graphs: 1
Observed: Mar 2, 2012 to Mar 24, 2025
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Wambolt & Associates, LLC

Investment consultant · shared crd

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: $587MItem 5.F on the latest filing (2025-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $587M
Private client RAUM: $546MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,898
Individual clients: 407
High net worth clients: 192
Custody, client assets: $268M
SEC number: 801-71476
CIK: 1755723
CRD: 153454
Filings on the tape: 37
First filed: Mar 2, 2012
Latest filed: Mar 24, 2025
Organised: Limited Liability Company, CO
Website: wamboltwealth.com

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
WAMBOLT, GREGORY, ALAN	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	06/2010	Mar 2, 2012	Mar 11, 2024
ALVAREZ, CYNTHIA, DIANE	Shareholder	A	no	01/2022	Mar 24, 2022	Mar 11, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Littleton	Co	United States	7	no

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
2024	Mar 24, 2025	$587M	$587M	13	6	1	n/a	n/a
2023	Mar 11, 2024	$565M	$548M	16	10	1	n/a	n/a
2022	Mar 9, 2023	$419M	$407M	13	12	1	n/a	n/a
2021	Mar 24, 2022	$454M	$439M	14	12	1	n/a	n/a
2020	Mar 11, 2021	$328M	$328M	10	10	1	n/a	n/a
2019	Mar 4, 2020	$276M	$276M	10	10	2	n/a	n/a
2018	Mar 27, 2019	$199M	$199M	12	6	1	n/a	n/a
2017	Mar 15, 2018	$191M	$190M	9	5	0	n/a	n/a
2016	Mar 23, 2017	$141M	$141M	7	4	n/a	n/a	n/a
2015	Feb 9, 2016	$125M	$124M	8	4	n/a	n/a	n/a
2014	Mar 30, 2015	$120M	$118M	8	3	n/a	n/a	n/a
2013	Mar 11, 2014	$102M	$98.0M	4	2	n/a	n/a	n/a
2012	Jan 31, 2013	$98.6M	$97.5M	4	2	n/a	n/a	n/a
2011	Mar 2, 2012	$94.3M	$70.0M	n/a	n/a	n/a	n/a	n/a

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
2024	$587M	$565M	3.9%	$454M	8.9%	13	16	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CWM, LLC	5	Sep 12, 2025	Jun 10, 2025	LITTLETON, CO	Firm absorbed	RIA to ibd	83.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CENTRIC INVESTMENT GROUP INC	2	Dec 18, 2019	Jul 10, 2019	LITTLETON, CO	Team lift out	RIA to RIA	50.0%

Relationships

Affiliated with (3)

← CENTRIC INVESTMENT GROUP INCRegistered adviserother investment adviser, control, common control
factForm ADV
← METIS WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← METIS, L.L.C.Registered adviserother investment adviser, common control
factForm ADV

Registered with (18)

← GREGORY ALAN WAMBOLTAdvisorregistration: previous registration
Jun 4, 2010 to Sep 12, 2025factForm ADV
← Christopher John FreyAdvisorregistration: previous registration
Nov 15, 2024 to Sep 12, 2025factForm ADV
← SHAUN MICHAEL CAVANAGHAdvisorregistration: previous registration
Jan 27, 2023 to Sep 12, 2025factForm ADV
← William MichenerAdvisorregistration: previous registration
Dec 18, 2023 to Sep 12, 2025factForm ADV
← ELENI YEROSAdvisorregistration: previous registration
Aug 15, 2019 to Sep 12, 2025factForm ADV
← Brady Allen JonesAdvisorregistration: previous registration
May 21, 2025 to Sep 12, 2025factForm ADV
← Kurt Thomas GallupAdvisorregistration: previous registration
Jul 25, 2023 to Mar 26, 2025factForm ADV
← Tyler HentgesAdvisorregistration: previous registration
Nov 4, 2021 to Feb 18, 2025factForm ADV
← JANELLE RAE VAN MEELAdvisorregistration: previous registration
Aug 3, 2020 to Nov 20, 2024factForm ADV
← CYNTHIA DIANE ALVAREZAdvisorregistration: previous registration
Apr 23, 2013 to Nov 20, 2024factForm ADV
← Mitchell Curtis GerschickAdvisorregistration: previous registration
Sep 14, 2024 to Oct 1, 2024factForm ADV
← Scott K BrooksAdvisorregistration: previous registration
Dec 14, 2021 to Aug 15, 2024factForm ADV
← Giulia A LaplanteAdvisorregistration: previous registration
Jul 10, 2019 to Aug 23, 2021factForm ADV
← KELLY FRASERAdvisorregistration: previous registration
Feb 22, 2019 to Feb 1, 2021factForm ADV
← LINDSEY KAY LANGHANSAdvisorregistration: previous registration
Aug 31, 2018 to Nov 21, 2019factForm ADV
← MATTHEW ROBERT BLAKEAdvisorregistration: previous registration
Jan 19, 2017 to Mar 5, 2018factForm ADV
← JACK WILLIAM MOOREAdvisorregistration: previous registration
Jun 7, 2010 to Nov 1, 2013factForm ADV
← RYAN CHARLES STOUTAdvisorregistration: previous registration
Oct 7, 2010 to Aug 28, 2012factForm ADV

Moved with (2)

→ CWM, LLCRegistered adviser5 advisors, firm absorbed, same day
Sep 12, 2025 to Jun 10, 2025factForm ADV
← CENTRIC INVESTMENT GROUP INCRegistered adviser2 advisors, team lift out, same day
Dec 18, 2019 to Jul 10, 2019factForm ADV

Controls (1)

← WAMBOLT, GREGORY, ALANOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 2, 2012 to Mar 11, 2024factForm ADV

Owns (1)

← ALVAREZ, CYNTHIA, DIANEOwnerSHAREHOLDER, ownership code A, individual
Mar 24, 2022 to Mar 11, 2024factForm ADV

Dated events

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

Occurred
Sep 12, 2025
Firm absorbed
Wambolt & Associates, LLC's advisors moved to Cwm, LLC (Littleton, CO): 5 of 6 registered, on the same day
Form ADVobserved 3 days ago
5 advisors
Occurred
Sep 12, 2025
Advisor changed firm
Gregory Alan Wambolt left Wambolt & Associates, Llc for Metis, L.L.C. (registered 2014-05-05)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2025
Advisor changed firm
William Michener left Wambolt & Associates, Llc for Cwm, Llc (registered 2025-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2025
Advisor changed firm
Eleni Yeros left Wambolt & Associates, Llc for Cwm, Llc (registered 2025-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2025
Advisor changed firm
Shaun Michael Cavanagh left Wambolt & Associates, Llc for Cwm, Llc (registered 2025-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2025
Advisor changed firm
Christopher John Frey left Wambolt & Associates, Llc for Cwm, Llc (registered 2025-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 12, 2025
Advisor changed firm
Brady Allen Jones left Wambolt & Associates, Llc for Cwm, Llc (registered 2025-06-10)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2025
Advisor changed firm
Kurt Thomas Gallup left Wambolt & Associates, Llc for Maia Wealth (registered 2025-03-25)
Form ADVobserved 4 days ago
Occurred
Feb 18, 2025
Advisor changed firm
Tyler Hentges left Wambolt & Associates, Llc for Townsend (registered 2025-02-28)
Form ADVobserved 4 days ago
Occurred
Nov 20, 2024
Advisor changed firm
Janelle Rae Van Meel left Wambolt & Associates, Llc for Savvy (registered 2024-11-26)
Form ADVobserved 4 days ago
Occurred
Nov 20, 2024
Advisor changed firm
Cynthia Diane Alvarez left Wambolt & Associates, Llc for Metis, L.L.C. (registered 2014-06-04)
Form ADVobserved 4 days ago
Occurred
Oct 1, 2024
Advisor changed firm
Mitchell Curtis Gerschick left Wambolt & Associates, Llc for Savvy (registered 2026-01-14)
Form ADVobserved 4 days ago
Occurred
Aug 15, 2024
Advisor changed firm
Scott K Brooks left Wambolt & Associates, Llc for Brooks Wealth Management (registered 2024-08-07)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2024
Regulatory AUM changed
Wambolt & Associates, Llc reported RAUM $564.7M, up 35% from $419.3M (2023-03-09 to 2024-03-11)
Form ADVobserved 4 days ago
$145M
Occurred
Mar 24, 2022
Regulatory AUM changed
Wambolt & Associates, Llc reported RAUM $453.8M, up 39% from $327.6M (2021-07-02 to 2022-03-24)
Form ADVobserved 4 days ago
$126M
Occurred
Jul 26, 2019
Control person left
Leland Jeff Wambolt (Chief Compliance Officer) no longer on Schedule A of Wambolt & Associates, Llc (listed 2019-07-09, absent 2019-07-26)
Form ADVobserved 4 days ago
Occurred
Apr 25, 2019
Control person joined
Jeff Wambolt (Chief Compliance Officer) appeared on Schedule A of Wambolt & Associates, Llc
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Wambolt & Associates, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $586.8M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cee35f2d-9e9f-d81a-8d8f-d40c9a45500e
First observed: Mar 2, 2012
Last observed: Mar 24, 2025 18 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.

WAMBOLT & ASSOCIATES, LLC

CRD 153454

LITTLETON, 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:cee35f2d-9e9f-d81a-8d8f-d40c9a45500e

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WAMBOLT, GREGORY, ALAN

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

06/2010

Mar 2, 2012

Mar 11, 2024

ALVAREZ, CYNTHIA, DIANE

Shareholder

01/2022

Mar 24, 2022

Mar 11, 2024

City

State

Country

Employees

Also broker-dealer

Littleton

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 24, 2025

$587M

n/a

2023

Mar 11, 2024

$565M

$548M

n/a

2022

Mar 9, 2023

$419M

$407M

n/a

2021

Mar 24, 2022

$454M

$439M

n/a

2020

Mar 11, 2021

$328M

n/a

2019

Mar 4, 2020

$276M

n/a

2018

Mar 27, 2019

$199M

n/a

2017

Mar 15, 2018

$191M

$190M

n/a

2016

Mar 23, 2017

$141M

n/a

2015

Feb 9, 2016

$125M

$124M

n/a

2014

Mar 30, 2015

$120M

$118M

n/a

2013

Mar 11, 2014

$102M

$98.0M

n/a

2012

Jan 31, 2013

$98.6M

$97.5M

n/a

2011

Mar 2, 2012

$94.3M

$70.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$587M

$565M

3.9%

$454M

8.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CWM, LLC

Sep 12, 2025

Jun 10, 2025

LITTLETON, CO

Firm absorbed

RIA to ibd

83.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CENTRIC INVESTMENT GROUP INC

Dec 18, 2019

Jul 10, 2019

LITTLETON, CO

Team lift out

RIA to RIA

50.0%