DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T•• W••••• C••••••••• I•••
Latest filing Jul 9, 2026
First filing on the tape Mar 29, 2012 · 40 filings
SEC status approved since Jun 3, 1983
RAUM
$260M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
93%
$241M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$260M as of Jul 9, 2026
Mar 29, 2012$233M then
HNW client RAUM$228M as of Jul 9, 2026
Feb 14, 2018$97.7M then
State-registered IARs (5.B.3)3 as of Jul 9, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Jul 9, 2026
Mar 27, 20136 then
Private funds: no history
RAUM +35% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $86.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $178M, 46 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$228M88%
- Corporations and businesses$18.9M7.3%
- Individuals$13.3M5.1%
- Individual clients
- 26reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 220reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 46 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• L••• S•••••Certified Financial Planner | Boulder, Co | Jan 1, 1999 | 43 y | 0 |
| S••••• P•••• H••••••••• | Boulder, Co | Jun 25, 2002 | 32 y | 0 |
| M•••••• R•••• H••••Certified Financial Planner | Boulder, Co | Feb 26, 2020 | 16 y | 3 |
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 headcount1 left over 36 months
Left, latest
- H•••• B•• P••• to I••••••••• W••••• M•••••••••Jan 31, 2025 · RIA to RIA
- M•••• E•••••••• K••••• to M••••• G•••• I••••••••• A•••••••• L••Aug 29, 2019 · RIA to RIA
- R••••• S•• H••••• to H••••• F•••••••• P•••••••• I•••Dec 31, 2014 · Other
- M•••••• R•••• H•••• to M• I••••Jul 17, 2014 · Other
- B•••• R••••• L••••••••• to S••••••• W••••• M•••••••••Aug 10, 2012 · Other
Joined, latest
- M•••••• R•••• H•••• from M• I••••Feb 26, 2020 · Other
- M•••• E•••••••• K••••• from P••••••• C•••••• A••••••• C•••••••••Mar 7, 2019 · RIA to RIA
- R••••• S•• H••••• from J••••••• W••••• M•••••••••Nov 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• S•••••• P•••• · Partnercontrolsince 01/2006 · owns less than 5%
- S•••••• M•••• L••• · President, Chief Compliance Officercontrolsince 06/1983 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boulder, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 25, 2026RAUM (Item 5.F) moved from $192,112,867 to $260,006,850 (+35.0%) between the annual amendments of 2025-02-01 and 2026-02-25; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 211 to 220Feb 1, 2025 to Jan 27, 2026
- HNW clients · 19 to 21Feb 1, 2025 to Jan 27, 2026
- Assets in custody · $129M to $178MFeb 1, 2025 to Jan 27, 2026
- Employees · 5 to 6Feb 1, 2025 to Jan 27, 2026
- Discretionary RAUM · $97.4M to $151MFeb 1, 2025 to Jan 27, 2026
- HNW RAUM · $170M to $228MFeb 1, 2025 to Jan 27, 2026
- Individual RAUM · $9.2M to $13.3MFeb 1, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $94.7M to $109MFeb 1, 2025 to Jan 27, 2026
- RAUM · $192M to $260MFeb 1, 2025 to Jan 27, 2026
- Accounts · 213 to 211Jul 9, 2024 to Feb 1, 2025
- HNW clients · 21 to 19Jul 9, 2024 to Feb 1, 2025
- Individual clients · 27 to 26Jul 9, 2024 to Feb 1, 2025
- Assets in custody · $128M to $129MJul 9, 2024 to Feb 1, 2025
- Employees · 7 to 5Jul 9, 2024 to Feb 1, 2025
- Financial planning clients · 11-25 to 11-25Jul 9, 2024 to Feb 1, 2025
- Discretionary RAUM · $99.4M to $97.4MJul 9, 2024 to Feb 1, 2025
- HNW RAUM · $165M to $170MJul 9, 2024 to Feb 1, 2025
- Individual RAUM · $8.0M to $9.2MJul 9, 2024 to Feb 1, 2025
- Non-discretionary RAUM · $82.7M to $94.7MJul 9, 2024 to Feb 1, 2025
- RAUM · $182M to $192MJul 9, 2024 to Feb 1, 2025
- Employees · 6 to 7Jan 31, 2024 to Jul 9, 2024
- Accounts · 220 to 213Jan 25, 2023 to Jan 31, 2024
- HNW clients · 23 to 21Jan 25, 2023 to Jan 31, 2024
- Individual clients · 28 to 27Jan 25, 2023 to Jan 31, 2024
- Assets in custody · $81.6M to $128MJan 25, 2023 to Jan 31, 2024
- Discretionary RAUM · $108M to $99.4MJan 25, 2023 to Jan 31, 2024
- HNW RAUM · $168M to $165MJan 25, 2023 to Jan 31, 2024
- Individual RAUM · $8.3M to $8.0MJan 25, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $74.7M to $82.7MJan 25, 2023 to Jan 31, 2024
- RAUM · $183M to $182MJan 25, 2023 to Jan 31, 2024
- Accounts · 213 to 220Jan 14, 2022 to Jan 25, 2023
- Charity clients · unset to 0.0Jan 14, 2022 to Jan 25, 2023
- Individual clients · 26 to 28Jan 14, 2022 to Jan 25, 2023
- Assets in custody · $43.7M to $81.6MJan 14, 2022 to Jan 25, 2023
- Employees · 7 to 6Jan 14, 2022 to Jan 25, 2023
- Discretionary RAUM · $91.4M to $108MJan 14, 2022 to Jan 25, 2023
- HNW RAUM · $142M to $168MJan 14, 2022 to Jan 25, 2023
- Individual RAUM · $7.4M to $8.3MJan 14, 2022 to Jan 25, 2023
- Non-discretionary RAUM · $65.9M to $74.7MJan 14, 2022 to Jan 25, 2023
- RAUM · $157M to $183MJan 14, 2022 to Jan 25, 2023
Signals
1 dated events
- H•••• B•• P••• left T•• W••••• C••••••••• I••• for I••••••••• W••••• M••••••••• (registered 2025-02-28)Jan 31, 2025 · Advisor changed firm · 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
- Business phone
- 303-444-1919reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/TWCINCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TWCINC.ORGreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-444-1919reportedpublic record, Form ADV, Jul 9, 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
- $86.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026