DFX Intelligence

S••••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S••••••• C•••••• M••••••••• I•••

CRD 287916

GREENWOOD VILLAGE, CO

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Data as of Jul 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 5
On other graphs: 0
Observed: May 11, 2017 to Jul 8, 2026
30 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=0.79 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $676M••• Locked
Discretionary RAUM: $658M
Private client RAUM: $532Mderived••• Locked
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $113Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• J•••• S•••••••	Certified Financial Planner	Greenwood Village, CO	9	34	4	no
M•••••• H••••• K••••	Certified Financial Planner	GREENWOOD VILLAGE, CO	5	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• J••••• C••••••••	CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER	B	yes	05/2015	Nov 27, 2017	Mar 21, 2024
S•••••••• W••••••• J••••	MANAGING DIRECTOR	E	yes	05/2015	May 11, 2017	Mar 21, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	16.7%	0	0	0	3	3

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	$676M	$612M	10.4%	$437M	15.6%	11	10	0	0

Relationships

Registered with (12)

← L••••• P•••• P•••••••Advisorregistration: current employment
Jan 17, 2026 to presentfactForm ADV
← O••••• S•••••• S•••••••Advisorregistration: current employment
Nov 18, 2025 to presentfactForm ADV
← M••••• T• S••••••Advisorregistration: current employment
Feb 18, 2025 to presentfactForm ADV
← N••• K•••••• K••••

Dated events

Order

Occurred
24 Sep 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Dec 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
16 Nov 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Sep 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
11 May 2017
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 11, 2017
Last observed: Jul 8, 2026 2 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.