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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D•••••• S••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 11, 2024 · 3 filings
SEC status approved since Nov 8, 2024
RAUM
$176M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$176M as of Mar 31, 2026
Mar 31, 2025$158M then
HNW client RAUM$139M as of Mar 31, 2026
Mar 31, 2025$126M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 31, 20252 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $87.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $295,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $11.5M, 23 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M79%
- Individuals$36.5M21%
- Corporations and businesses$4,5110.0%
- Individual clients
- 93reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 594reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.5M for 23 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W•••••• M••••••• | Greenwood Village, Co | Jan 4, 2012 | 17 y | 0 |
| M•••••• C••••••••• B•••••• | Greenwood Village, Co | Dec 5, 2022 | 11 y | 1 |
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
Left, latest
none on the tape
Joined, latest
- M•••••• C••••••••• B•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Dec 5, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• R•••••• W•••••• · Managing Member, Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 567 to 594Mar 31, 2025 to Mar 31, 2026
- HNW clients · 59 to 57Mar 31, 2025 to Mar 31, 2026
- Individual clients · 94 to 93Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $104 to $11.5MMar 31, 2025 to Mar 31, 2026
- Other offices · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $156M to $156MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $126M to $139MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $32.3M to $36.5MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.9M to $19.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $158M to $176MMar 31, 2025 to Mar 31, 2026
- Accounts · 552 to 567Oct 11, 2024 to Mar 31, 2025
- HNW clients · 57 to 59Oct 11, 2024 to Mar 31, 2025
- Individual clients · 89 to 94Oct 11, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Oct 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $150M to $156MOct 11, 2024 to Mar 31, 2025
- HNW RAUM · $121M to $126MOct 11, 2024 to Mar 31, 2025
- Individual RAUM · $31.3M to $32.3MOct 11, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.9M to $1.9MOct 11, 2024 to Mar 31, 2025
- RAUM · $152M to $158MOct 11, 2024 to Mar 31, 2025
Signals
1 dated events
- D•••••• S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 11, 2024 · 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
- Business phone
- 720-360-0886reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- D••••••-ST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-360-0886reportedpublic record, Form ADV, Mar 31, 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
- $87.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026