DFX Intelligence

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SEC-registered adviser

A••••• W••••• A•••••••• L••

Independent wealth managerDenver, ColoradoCRD 105433SEC 801-130531website IAPD

Latest filing Mar 27, 2026

First filing on the tape Jan 31, 2012 · 9 filings

SEC status approved since Aug 7, 2024

RAUM

$116M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$115M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$116M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$116M as of Mar 27, 2026

Jan 31, 2012$67.7M then

HNW client RAUM$103M as of Mar 27, 2026

Mar 25, 2025$90.0M then

State-registered IARs (5.B.3)1 as of Mar 27, 2026

Jan 31, 20120 then

Employees (5.A)1 as of Mar 27, 2026

Mar 25, 20251 then

Private funds: no history

RAUM +10% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 58derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $481,963derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$103M89%
Individuals$11.5M10.0%
Corporations and businesses$662,9920.6%
Charitable organizations$56,5130.0%

Individual clients: 11reported
HNW clients: 47reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 240reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••• E•••• Q••••	Denver, Co	Mar 26, 2025	20 y	5

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

B•••• E•••• Q•••• from M••••• S••••••
Feb 7, 2013 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Q••••• B••••• E•••• · Managing Member LLC / Ccocontrol
since 01/2013 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Mar 27, 2026
accounts (Item 5.F.2.f) moved from 420.0 to 240.0 (-43.0%) between the annual amendments of 2025-03-25 and 2026-03-27; the peer median change was +5.0% (3685 comparable advisers, 4.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 3.6% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 420 to 240
Mar 25, 2025 to Mar 27, 2026
Charity clients · 1.0 to unset
Mar 25, 2025 to Mar 27, 2026
HNW clients · 48 to 47
Mar 25, 2025 to Mar 27, 2026
Discretionary RAUM · $105M to $116M
Mar 25, 2025 to Mar 27, 2026
HNW RAUM · $90.0M to $103M
Mar 25, 2025 to Mar 27, 2026
Individual RAUM · $15.0M to $11.5M
Mar 25, 2025 to Mar 27, 2026
RAUM · $105M to $116M
Mar 25, 2025 to Mar 27, 2026
Accounts · 60 to 420
Aug 1, 2024 to Mar 25, 2025
Advisory activities · 3 to 2
Aug 1, 2024 to Mar 25, 2025
Financial planning clients · 1-10 to 1-10
Aug 1, 2024 to Mar 25, 2025
Discretionary RAUM · $102M to $105M
Aug 1, 2024 to Mar 25, 2025
HNW RAUM · $89.8M to $90.0M
Aug 1, 2024 to Mar 25, 2025
Individual RAUM · $12.7M to $15.0M
Aug 1, 2024 to Mar 25, 2025
RAUM · $102M to $105M
Aug 1, 2024 to Mar 25, 2025
Succession · true to false
Jul 5, 2024 to Aug 1, 2024
Succession · false to true
Jun 5, 2024 to Jul 5, 2024
Organization form · Limited Liability Partnership to Limited Liability Company
May 23, 2024 to Jun 5, 2024
Accounts · 146 to 60
Jun 18, 2012 to May 23, 2024
Advisory employees · 0 to 1
Jun 18, 2012 to May 23, 2024
Advisory activities · 1 to 3
Jun 18, 2012 to May 23, 2024
Business name · W•••••• E• S•••• • A••••••••• to A••••• W••••• A•••••••• L••
Jun 18, 2012 to May 23, 2024
Charity clients · unset to 1.0
Jun 18, 2012 to May 23, 2024
HNW clients · unset to 48.0
Jun 18, 2012 to May 23, 2024
Individual clients · unset to 11.0
Jun 18, 2012 to May 23, 2024
Assets in custody · unset to 0.0
Jun 18, 2012 to May 23, 2024
Employees · unset to 1.0
Jun 18, 2012 to May 23, 2024
Financial planning clients · 0 to 1-10
Jun 18, 2012 to May 23, 2024
State-registered IARs · 0 to 1
Jun 18, 2012 to May 23, 2024
Legal name · S•••• W•••••• E••••• III to A••••• W••••• A•••••••• L••
Jun 18, 2012 to May 23, 2024
Other offices · unset to 0.0
Jun 18, 2012 to May 23, 2024
Organization form · Sole Proprietorship to Limited Liability Partnership
Jun 18, 2012 to May 23, 2024
Discretionary RAUM · $67.7M to $102M
Jun 18, 2012 to May 23, 2024
HNW RAUM · unset to 89795000.0
Jun 18, 2012 to May 23, 2024
Individual RAUM · unset to 12668000.0
Jun 18, 2012 to May 23, 2024
RAUM · $67.7M to $102M
Jun 18, 2012 to May 23, 2024

Signals

4 dated events

A••••• W••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jul 5, 2024 · Succession (Item 4) · fact
Ellen Blair Quinn (Managing Member Llc / Cco) appeared on Schedule A of A••••• W••••• A•••••••• L••
May 23, 2024 · Control person joined · fact
Ellery William Sweet (Owner) no longer on Schedule A of A••••• W••••• A•••••••• L•• (listed 2012-06-18, absent 2024-05-23)
May 23, 2024 · Control person left · inference
A••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
May 23, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: A•••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: 7203186634reportedpublic record, Form ADV, Mar 27, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $116Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026