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.
Former SEC-registered adviser
Cobiz Wealth
Legal name Cobiz Wealth, LLC
Latest filing Jun 13, 2019
First filing on the tape Mar 28, 2012 · 24 filings
RAUM
$968M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
76%
$736M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$968M as of Mar 27, 2019
Mar 28, 2012$1.2B then
HNW client RAUM$621M as of Mar 27, 2019
Mar 29, 2018$625M then
State-registered IARs (5.B.3)11 as of Mar 27, 2019
Mar 27, 20130 then
Employees (5.A)21 as of Mar 27, 2019
Mar 27, 201321 then
Private funds: no history
RAUM -0.5% over the last fiscal year+4.1% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Jun 13, 2019; every figure names its basis
- RAUM per advisor
- $88.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $880,952derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $78.2M, 26 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- 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$621M64%
- Corporations and businesses$123M13%
- Individuals$115M12%
- Pension and profit-sharing plans$53.1M5.5%
- Charitable organizations$39.5M4.1%
- Insurance companies$16.5M1.7%
- Individual clients
- 462reported
- HNW clients
- 522reported
- Pension plan clients
- 50reported
- Charitable clients
- 17reported
- Accounts
- 1,099reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $25.3M managedreported
- Custody of client assets
- $78.2M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Christopher Cline Freimuth to Bok Financial Private Wealth, Inc.Jan 16, 2020 · RIA to RIA
- Daniel Evan Owens to Bok Financial Private Wealth, Inc.Dec 20, 2019 · RIA to RIA
- Rita Koch Day to Bok Financial Private Wealth, Inc.Oct 31, 2019 · RIA to RIA
- Sandra Loraine Knecht to Bok Financial Private Wealth, Inc.Oct 31, 2019 · RIA to RIA
- Juliet M Hull to Bok Financial Private Wealth, Inc.Oct 31, 2019 · RIA to RIA
- Gordan Craig Post to Bok Financial Private Wealth, Inc.Oct 31, 2019 · RIA to RIA
- Eric Lyle Chapman to Bok Financial Private Wealth, Inc.Oct 29, 2019 · RIA to RIA
- Andres E Roodveldt to Bok Financial Private Wealth, Inc.Oct 29, 2019 · RIA to RIA
- John Kim to Bok Financial Private Wealth, Inc.Aug 19, 2019 · RIA to RIA
- Tami C Carroll to Aveo Capital Partners, LLCFeb 23, 2018 · Other
- Ryan David Finch to Colorado Financial Service CorporationMar 10, 2017 · Other
- Julie Fauble Pribble to Peak Asset Management, LLCJan 8, 2016 · Other
- Aaron Robert Anderson to Southstate Private Capital Management LLCAug 12, 2015 · Other
- Peter John Quinn to Helm Investment Management, LLCFeb 4, 2015 · Other
- George Dickson Griswold to Highwater Wealth Management LLCAug 19, 2011 · Other
Joined, latest
- Andres E Roodveldt from Charles Schwab & Co., Inc.Jun 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- Sandra Loraine Knecht from Schwab Wealth Advisory, Inc.Apr 19, 2016 · Other
- Daniel Evan Owens from Banc One Securities CorporationOct 4, 2013 · Other
- Tami C Carroll from Equitable Advisors, LLCAug 19, 2013 · Other
- Aaron Robert Anderson from Equitable Advisors, LLCNov 24, 2011 · Other
- Julie Fauble Pribble from Wagner Investment Management Inc.Jul 1, 2010 · Other
- Traci Lynn Sarmiento from Wells Fargo Investments, LLCAug 8, 2006 · Other
- George Dickson Griswold from Waters, Parkerson & Co., LLCJul 10, 2006 · Other
- Rita Koch Day from Alexander Capital Management Group, Inc.Jan 1, 1999 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Bok Financial Private Wealth, Inc.Oct 29, 2019 · Denver, Co · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cline Christopher Freimuth · Managing Directorcontrolsince 10/2018 · owns less than 5%
- Bradley Scott Grauer · Chairman Of The Boardcontrolsince 10/2018 · owns less than 5%
- Margaret Mindy Mahaney · Chief Operating Officercontrolsince 10/2018 · owns less than 5%
- Stephen Mark Marrone · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- Ayres Gregory Wheeler · Chief Executive Officercontrolsince 10/2018 · owns less than 5%
- Bruce George Kaiser · Indirect Beneficial Ownercontrolsince 10/2018 · owns 50% to 75% of Bok Financial Corporation
Entity owners
- Bokf, N.A. · Ownerdirect · owns 75% or more · public reporting company
- Bok Financial Corporation · Ownerindirect · owns 75% or more of Bokf, N.A. · public reporting company
Related persons
Schedule D 7.A
- Bok Financial Asset Management, Inc.investment advisernRAUM $1.3B
- Bok Financial Advisorsbroker-dealerinvestment advisernRAUM $1.1B
- Bokf, Nan
- Bosc Agency, Inc.real estaten
- Cavanal Hill Distributors, Inc,broker-dealern
- Cavanal Hill Investment Management, Inc.investment advisernRAUM $15B
- Cobiz BankLP sponsorn
- Cobiz Insurance Inc.real estaten
- Stepstone Group LPinvestment advisernRAUM $108B
- Bok Financial Private Wealth, Inc.investment advisernRAUM $3.7B
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
What changed
consecutive filings, newest first
- Accounts · 1,090 to 1,099Nov 29, 2018 to Mar 27, 2019
- Advisory employees · 10 to 11Nov 29, 2018 to Mar 27, 2019
- Charity clients · 19 to 17Nov 29, 2018 to Mar 27, 2019
- Corporate clients · 45 to 44Nov 29, 2018 to Mar 27, 2019
- HNW clients · 470 to 522Nov 29, 2018 to Mar 27, 2019
- Individual clients · 498 to 462Nov 29, 2018 to Mar 27, 2019
- Pension plan clients · 54 to 50Nov 29, 2018 to Mar 27, 2019
- Assets in custody · $86.9M to $78.2MNov 29, 2018 to Mar 27, 2019
- Discretionary RAUM · $964M to $959MNov 29, 2018 to Mar 27, 2019
- HNW RAUM · $625M to $621MNov 29, 2018 to Mar 27, 2019
- Individual RAUM · $126M to $115MNov 29, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $8.8M to $8.9MNov 29, 2018 to Mar 27, 2019
- Pension RAUM · $57.2M to $53.1MNov 29, 2018 to Mar 27, 2019
- RAUM · $973M to $968MNov 29, 2018 to Mar 27, 2019
- Wrap assets (manager) · $25.1M to $25.3MNov 29, 2018 to Mar 27, 2019
- Related adviser · false to trueApr 20, 2018 to Nov 29, 2018
- Related broker-dealer · false to trueApr 20, 2018 to Nov 29, 2018
- Accounts · 1,043 to 1,090Mar 28, 2017 to Mar 29, 2018
- Advisory employees · 14 to 10Mar 28, 2017 to Mar 29, 2018
- Charity clients · unset to 19.0Mar 28, 2017 to Mar 29, 2018
- Corporate clients · unset to 45.0Mar 28, 2017 to Mar 29, 2018
- HNW clients · unset to 470.0Mar 28, 2017 to Mar 29, 2018
- Individual clients · unset to 498.0Mar 28, 2017 to Mar 29, 2018
- Pension plan clients · unset to 54.0Mar 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Mar 28, 2017 to Mar 29, 2018
- Assets in custody · unset to 86884171.0Mar 28, 2017 to Mar 29, 2018
- Custody of client assets · false to trueMar 28, 2017 to Mar 29, 2018
- Employees · 24 to 21Mar 28, 2017 to Mar 29, 2018
- State-registered IARs · 13 to 11Mar 28, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $840M to $964MMar 28, 2017 to Mar 29, 2018
- HNW RAUM · unset to 625101708.0Mar 28, 2017 to Mar 29, 2018
- Individual RAUM · unset to 125522078.0Mar 28, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $8.3M to $8.8MMar 28, 2017 to Mar 29, 2018
- Pension RAUM · unset to 57243879.0Mar 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2017 to Mar 29, 2018
- RAUM · $849M to $973MMar 28, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 25113132.0Mar 28, 2017 to Mar 29, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 28, 2017 to Mar 29, 2018
- Accounts · 1,116 to 1,043Jan 5, 2017 to Mar 28, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026