DFX Intelligence
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Z••• C•••••• A•••••••
Independent wealth manager, reporting $170M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $170M
- Advisors
- 1
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 79% of RAUM, $135M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $144MRAUM now $170M
- Contact points 2
Every filed figure, and the identifiersCRD 150149 · SEC 801-121663 · 12 filingsShowHide
CRD 150149SEC 801-121663Legal name Z••• C•••••• L••First filing on the tape Mar 23, 2012, latest Mar 17, 2026SEC status approved since Jul 1, 2021IAPD
RAUM
$170M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
79%
$135M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$170M as of Mar 17, 2026
Mar 23, 2012$53.6M then
HNW client RAUM$102M as of Mar 17, 2026
Mar 8, 2022$79.6M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 17, 2026
Mar 8, 20221 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 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
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $829,805derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.2%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $77.0M, 43 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M60%
- Individuals$32.9M19%
- Corporations and businesses$26.1M15%
- Charitable organizations$7.0M4.1%
- Pension and profit-sharing plans$1.8M1.0%
- Individual clients
- 41reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 205reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.0M for 43 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| P•••••• J•••• W••••Certified Financial Planner | Greenwood Village, Co | May 19, 2026 | 27 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- P•••••• J•••• W•••• from U•• F•••••••• S••••••• I•••May 19, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• P••••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 10/2009 · owns less than 5%
- W••••• M••••••• A••• · Trusteecontrolsince 01/2007 · owns 50% to 75% of P•••••• J•••• A•• M••••••• A••• W•••• T••••
- W••••• P••••••• J•••• · Trusteecontrolsince 01/2007 · owns 50% to 75% of P•••••• J•••• A•• M••••••• A••• W•••• T••••
Entity owners
- P•••••• J•••• A•• M••••••• A••• W•••• T•••• · Ownerdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 207 to 205Mar 18, 2025 to Mar 17, 2026
- Assets in custody · $65.3M to $77.0MMar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $134M to $161MMar 18, 2025 to Mar 17, 2026
- HNW RAUM · $87.5M to $102MMar 18, 2025 to Mar 17, 2026
- Individual RAUM · $26.3M to $32.9MMar 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $10.1M to $9.2MMar 18, 2025 to Mar 17, 2026
- Pension RAUM · $1.4M to $1.8MMar 18, 2025 to Mar 17, 2026
- RAUM · $144M to $170MMar 18, 2025 to Mar 17, 2026
- Accounts · 221 to 207Feb 26, 2024 to Mar 18, 2025
- Individual clients · 44 to 41Feb 26, 2024 to Mar 18, 2025
- Assets in custody · $44.4M to $65.3MFeb 26, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Feb 26, 2024 to Mar 18, 2025
- HQ city · unset to Feb 26, 2024 to Mar 18, 2025
- HQ state · unset to Feb 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $125M to $134MFeb 26, 2024 to Mar 18, 2025
- HNW RAUM · $84.6M to $87.5MFeb 26, 2024 to Mar 18, 2025
- Individual RAUM · $24.5M to $26.3MFeb 26, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $10.7M to $10.1MFeb 26, 2024 to Mar 18, 2025
- Pension RAUM · $1.3M to $1.4MFeb 26, 2024 to Mar 18, 2025
- RAUM · $135M to $144MFeb 26, 2024 to Mar 18, 2025
- Accounts · 216 to 221Aug 7, 2023 to Feb 26, 2024
- Individual clients · 45 to 44Aug 7, 2023 to Feb 26, 2024
- Assets in custody · $37.3M to $44.4MAug 7, 2023 to Feb 26, 2024
- Discretionary RAUM · $113M to $125MAug 7, 2023 to Feb 26, 2024
- HNW RAUM · $74.0M to $84.6MAug 7, 2023 to Feb 26, 2024
- Individual RAUM · $20.4M to $24.5MAug 7, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $5.3M to $10.7MAug 7, 2023 to Feb 26, 2024
- Pension RAUM · $1.1M to $1.3MAug 7, 2023 to Feb 26, 2024
- RAUM · $118M to $135MAug 7, 2023 to Feb 26, 2024
- Accounts · 228 to 216Mar 8, 2022 to Mar 21, 2023
- HNW clients · 33 to 32Mar 8, 2022 to Mar 21, 2023
- Individual clients · 44 to 45Mar 8, 2022 to Mar 21, 2023
- Assets in custody · $60.4M to $37.3MMar 8, 2022 to Mar 21, 2023
- Discretionary RAUM · $120M to $113MMar 8, 2022 to Mar 21, 2023
- HNW RAUM · $79.6M to $74.0MMar 8, 2022 to Mar 21, 2023
- Individual RAUM · $21.9M to $20.4MMar 8, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $7.0M to $5.3MMar 8, 2022 to Mar 21, 2023
- RAUM · $127M to $118MMar 8, 2022 to Mar 21, 2023
- Accounts · 234 to 228Jan 3, 2022 to Mar 8, 2022
- HNW clients · 32 to 33Jan 3, 2022 to Mar 8, 2022
Signals
2 dated events
- ••• LockedJun 1, 2021 · Control person joined · fact
- ••• LockedJun 1, 2021 · 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
- ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 17, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026