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

P••••••••• F•••••••• A•• L••••• P•••••••

Independent wealth managerCRD 135813SEC 801-135621websiteIAPD
Legal name M••••• W••••• M•••••••••
Latest filing Feb 19, 2026
First filing on the tape Feb 19, 2026 · 1 filings
SEC status approved since Feb 25, 2026
RAUM
$107M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $107M
HNW client RAUM: $88.6M
State-registered IARs (5.B.3): 1
Employees (5.A): 5
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 19, 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
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$318,715derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$88.6M83%
  • Individuals$18.3M17%
  • Pension and profit-sharing plans$192,2610.2%
Individual clients
60reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
336reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 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
NameBranchHere sinceIn industryPrior firms
S•••••• W••••• M•••••Certified Financial PlannerFort Collins, CoFeb 11, 202521 y0
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••• S••••••• W••••• · President, Chief Compliance Officer, & Managing Membercontrol
    since 02/2005 · 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
  • low discretionary shareStatic outlier · filing Feb 19, 2026
    discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)
    peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
How anomalies are measured
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business email
lydia@purposefulfinancialplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email
steve@purposefulfinancialplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
970-443-1873reportedpublished by the firm, firm site, Sep 16, 2026
Website
P•••••••••FINANCIALP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
970-443-1873reportedpublic record, Form ADV, Feb 19, 2026
Contact form
purposefulfinancialplanning.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
$107Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026