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
First Western Capital Management Company
Latest filing Aug 14, 2020
First filing on the tape Apr 2, 2012 · 29 filings
RAUM
$962M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
34%
$330M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$962M as of Mar 27, 2020
Apr 2, 2012$1.3B then
HNW client RAUM$294M as of Mar 27, 2020
Mar 28, 2018$266M then
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 28, 20133 then
Employees (5.A)9 as of Mar 27, 2020
Mar 28, 201318 then
Private funds8 as of Mar 26, 2019
Apr 2, 20129 then
RAUM +25% over the last fiscal year-3.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 2020; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +338%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- High-net-worth individuals$294M31%
- Investment companies$232M24%
- Pension and profit-sharing plans$222M23%
- Corporations and businesses$140M15%
- Individuals$35.9M3.7%
- Charitable organizations$28.4M2.9%
- Other investment advisers$9.2M1.0%
- Individual clients
- 129reported
- HNW clients
- 204reported
- Pension plan clients
- 24reported
- Charitable clients
- 14reported
- Accounts
- 637reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- Barry Philip Julien to LidoDec 4, 2020 · RIA to RIA
- Ashish Jitendra Shah to F/M Investments LLCDec 4, 2020 · RIA to RIA
- Jon Nicholas Mclaughlin to Signature Resources Capital Management, LLCJul 20, 2018 · RIA to RIA
- David Larry Kahn to The Investment House LLCNov 12, 2012 · Other
- John Edward Dewey to Magellan Investment PartnersFeb 15, 2011 · Other
Joined, latest
- Jon Nicholas Mclaughlin from Ryder Stilwell Investment Advisors IncJul 2, 2010 · Other
- John Edward Dewey from First Western Investment Management, Inc.May 6, 2010 · Other
- Barry Philip Julien from First Western Investment Management, Inc.May 6, 2010 · Other
Private funds
9 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Julie Courkamp · Treasurercontrolsince 01/2013 · owns less than 5%
- Philip Barry Julien · Managing Directorcontrolsince 02/2010 · owns less than 5%
- Lee Christopher Payne · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- Emery John Sawyer · Presidentcontrolsince 03/2018 · owns less than 5%
- C Scott Wylie · Chairman/Ceocontrolsince 07/2014 · owns 10% to 25%
- Lene Simnioniw · Secretarysince 12/2009 · owns less than 5%
Entity owners
- First Western Financial, Inc. · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- First Western Trust Bankn
Advisers that list First Western Capital Management Company as a related person
- 128013 n
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA8 employees
What changed
consecutive filings, newest first
- Accounts · 131 to 637Aug 28, 2019 to Mar 27, 2020
- Advisory activities · 4 to 3Aug 28, 2019 to Mar 27, 2020
- Charity clients · 9 to 14Aug 28, 2019 to Mar 27, 2020
- Corporate clients · 19 to 24Aug 28, 2019 to Mar 27, 2020
- HNW clients · 62 to 204Aug 28, 2019 to Mar 27, 2020
- Individual clients · 14 to 129Aug 28, 2019 to Mar 27, 2020
- Pension plan clients · 23 to 24Aug 28, 2019 to Mar 27, 2020
- Employees · 7 to 9Aug 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $684M to $875MAug 28, 2019 to Mar 27, 2020
- HNW RAUM · $163M to $294MAug 28, 2019 to Mar 27, 2020
- Individual RAUM · $8.7M to $35.9MAug 28, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $87.9M to $87.4MAug 28, 2019 to Mar 27, 2020
- Pension RAUM · $202M to $222MAug 28, 2019 to Mar 27, 2020
- RAUM · $772M to $962MAug 28, 2019 to Mar 27, 2020
- Assets in custody · 0.0 to unsetMar 26, 2019 to Mar 29, 2019
- Custody of client assets · true to falseMar 26, 2019 to Mar 29, 2019
- Private funds · 8 to unsetMar 26, 2019 to Mar 29, 2019
- Accounts · 157 to 131Sep 18, 2018 to Mar 26, 2019
- Advisory employees · 9 to 6Sep 18, 2018 to Mar 26, 2019
- Charity clients · 8 to 9Sep 18, 2018 to Mar 26, 2019
- Corporate clients · 23 to 19Sep 18, 2018 to Mar 26, 2019
- HNW clients · 74 to 62Sep 18, 2018 to Mar 26, 2019
- Individual clients · 24 to 14Sep 18, 2018 to Mar 26, 2019
- Pension plan clients · 19 to 23Sep 18, 2018 to Mar 26, 2019
- Pooled vehicle clients · 3 to 0Sep 18, 2018 to Mar 26, 2019
- Assets in custody · $61.4M to $0Sep 18, 2018 to Mar 26, 2019
- Employees · 14 to 7Sep 18, 2018 to Mar 26, 2019
- Discretionary RAUM · $624M to $684MSep 18, 2018 to Mar 26, 2019
- HNW RAUM · $175M to $163MSep 18, 2018 to Mar 26, 2019
- Individual RAUM · $13.7M to $8.7MSep 18, 2018 to Mar 26, 2019
- Non-discretionary RAUM · $156M to $87.9MSep 18, 2018 to Mar 26, 2019
- Pension RAUM · $156M to $202MSep 18, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $27.1M to $0Sep 18, 2018 to Mar 26, 2019
- RAUM · $780M to $772MSep 18, 2018 to Mar 26, 2019
- Advisory employees · 8 to 9Apr 6, 2018 to Sep 18, 2018
- Accounts · 191 to 157Apr 6, 2018 to Sep 18, 2018
- Charity clients · 9 to 8Apr 6, 2018 to Sep 18, 2018
- Corporate clients · 14 to 23Apr 6, 2018 to Sep 18, 2018
- HNW clients · 57 to 74Apr 6, 2018 to Sep 18, 2018
- Individual clients · 79 to 24Apr 6, 2018 to Sep 18, 2018
Signals
1 dated events
- First Western Capital Management Company reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 22, 2013 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- First Western Capital Management Company · Private Equityshared crd · organization
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