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

Win Wealth Management, Inc.

Former SEC-registered adviserDenver, ColoradoCRD 127019SEC 801-79636IAPD
Latest filing Dec 22, 2016
First filing on the tape Dec 1, 2011 · 9 filings
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$120M as of Dec 22, 2016
Feb 24, 2012$72.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Dec 22, 2016
Feb 24, 20120 then
Employees (5.A)4 as of Dec 22, 2016
Feb 11, 20154 then
Private funds: no history
RAUM +8.3% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Dec 22, 2016; every figure names its basis
RAUM per advisor
$29.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$184,529derivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
648reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Edward Mark Autterson · Principal/Shareholdercontrol
        since 12/2005 · owns 50% to 75%
      • Michael John Winterscheidt · President, Director, Chief Compliance Officercontrol
        since 04/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • Winterscheidt & Autterson, Llp
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 426 to 648
        Jan 12, 2016 to Dec 22, 2016
      • Discretionary RAUM · $110M to $120M
        Jan 12, 2016 to Dec 22, 2016
      • RAUM · $110M to $120M
        Jan 12, 2016 to Dec 22, 2016
      • Accounts · 464 to 426
        Feb 12, 2015 to Jan 12, 2016
      • Discretionary RAUM · $118M to $110M
        Feb 12, 2015 to Jan 12, 2016
      • RAUM · $118M to $110M
        Feb 12, 2015 to Jan 12, 2016
      • Accounts · 345 to 464
        May 6, 2014 to Feb 11, 2015
      • Discretionary RAUM · $103M to $118M
        May 6, 2014 to Feb 11, 2015
      • RAUM · $103M to $118M
        May 6, 2014 to Feb 11, 2015
      • Accounts · 374 to 345
        Mar 13, 2012 to Apr 15, 2014
      • Advisory employees · unset to 3.0
        Mar 13, 2012 to Apr 15, 2014
      • Employees · unset to 4.0
        Mar 13, 2012 to Apr 15, 2014
      • State-registered IARs · 0 to 4
        Mar 13, 2012 to Apr 15, 2014
      • Discretionary RAUM · $69.5M to $103M
        Mar 13, 2012 to Apr 15, 2014
      • Non-discretionary RAUM · $2.6M to $0
        Mar 13, 2012 to Apr 15, 2014
      • RAUM · $72.1M to $103M
        Mar 13, 2012 to Apr 15, 2014
      • Accounts · 331 to 374
        Dec 1, 2011 to Feb 24, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 1, 2011 to Feb 24, 2012
      • Discretionary RAUM · $61.5M to $69.5M
        Dec 1, 2011 to Feb 24, 2012
      • Non-discretionary RAUM · $2.2M to $2.6M
        Dec 1, 2011 to Feb 24, 2012
      • RAUM · $63.7M to $72.1M
        Dec 1, 2011 to Feb 24, 2012
      Signals
      1 dated events
      • Win Wealth Management, Inc. filed its initial SEC registration (Form ADV)
        Apr 15, 2014 · 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.
      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