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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Former SEC-registered adviser

W•••••• • A••••••••• L••

Former SEC-registered adviserLittleton, ColoradoCRD 153454SEC 801-71476websiteIAPD
Latest filing Mar 24, 2025
First filing on the tape Mar 2, 2012 · 37 filings
SEC status approved since Jun 4, 2010
RAUM
$587M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$546M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$587M as of Mar 24, 2025
Mar 2, 2012$94.3M then
HNW client RAUM$455M as of Mar 24, 2025
Mar 15, 2018$129M then
State-registered IARs (5.B.3)6 as of Mar 24, 2025
Jan 31, 20132 then
Employees (5.A)13 as of Mar 24, 2025
Jan 31, 20134 then
Private funds: no history
RAUM +3.9% over the last fiscal year+8.9% a year over threeIARs 10 to 6
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
RAUM per advisor
$97.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$309,177derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.9%derivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.2%derived
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
Custody
$268M, 178 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$455M79%
  • Individuals$90.9M16%
  • Pension and profit-sharing plans$17.6M3.1%
  • Corporations and businesses$12.4M2.2%
  • Charitable organizations$1.7M0.3%
Individual clients
407reported
HNW clients
192reported
Pension plan clients
14reported
Charitable clients
n/areported
Accounts
1,898reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$268M for 178 clientsreported
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
Left, latest
Joined, latest
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
  • W••••••• G••••••• A••• · Managing Member & Chief Compliance Officercontrol
    since 06/2010 · owns 75% or more
  • A••••••• C••••••• D•••• · Shareholder
    since 01/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list W•••••• • A••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Littleton, Co · principal000
Offices
Schedule D 1.F, the 25 largest
  • Littleton, CO7 employees
What changed
consecutive filings, newest first
  • Accounts · 1,849 to 1,898
    Mar 11, 2024 to Mar 24, 2025
  • Advisory employees · 10 to 6
    Mar 11, 2024 to Mar 24, 2025
  • Corporate clients · 11 to 7
    Mar 11, 2024 to Mar 24, 2025
  • HNW clients · 174 to 192
    Mar 11, 2024 to Mar 24, 2025
  • Individual clients · 445 to 407
    Mar 11, 2024 to Mar 24, 2025
  • Assets in custody · $0 to $268M
    Mar 11, 2024 to Mar 24, 2025
  • Custody of client assets · false to true
    Mar 11, 2024 to Mar 24, 2025
  • Employees · 16 to 13
    Mar 11, 2024 to Mar 24, 2025
  • State-registered IARs · 10 to 6
    Mar 11, 2024 to Mar 24, 2025
  • Discretionary RAUM · $548M to $587M
    Mar 11, 2024 to Mar 24, 2025
  • HNW RAUM · $418M to $455M
    Mar 11, 2024 to Mar 24, 2025
  • Individual RAUM · $111M to $90.9M
    Mar 11, 2024 to Mar 24, 2025
  • Non-discretionary RAUM · $16.6M to $0
    Mar 11, 2024 to Mar 24, 2025
  • Pension RAUM · $14.8M to $17.6M
    Mar 11, 2024 to Mar 24, 2025
  • RAUM · $565M to $587M
    Mar 11, 2024 to Mar 24, 2025
  • Accounts · 1,564 to 1,849
    Mar 9, 2023 to Mar 11, 2024
  • Advisory employees · 12 to 10
    Mar 9, 2023 to Mar 11, 2024
  • Charity clients · 6.0 to unset
    Mar 9, 2023 to Mar 11, 2024
  • Corporate clients · 9 to 11
    Mar 9, 2023 to Mar 11, 2024
  • HNW clients · 141 to 174
    Mar 9, 2023 to Mar 11, 2024
  • Individual clients · 393 to 445
    Mar 9, 2023 to Mar 11, 2024
  • Assets in custody · $68.5M to $0
    Mar 9, 2023 to Mar 11, 2024
  • Custody of client assets · true to false
    Mar 9, 2023 to Mar 11, 2024
  • Employees · 13 to 16
    Mar 9, 2023 to Mar 11, 2024
  • Financial planning clients · 1-10 to 0
    Mar 9, 2023 to Mar 11, 2024
  • State-registered IARs · 8 to 10
    Mar 9, 2023 to Mar 11, 2024
  • Discretionary RAUM · $407M to $548M
    Mar 9, 2023 to Mar 11, 2024
  • HNW RAUM · $292M to $418M
    Mar 9, 2023 to Mar 11, 2024
  • Individual RAUM · $95.1M to $111M
    Mar 9, 2023 to Mar 11, 2024
  • Non-discretionary RAUM · $12.3M to $16.6M
    Mar 9, 2023 to Mar 11, 2024
  • Pension RAUM · $11.4M to $14.8M
    Mar 9, 2023 to Mar 11, 2024
  • RAUM · $419M to $565M
    Mar 9, 2023 to Mar 11, 2024
  • Accounts · 1,470 to 1,564
    Nov 1, 2022 to Mar 9, 2023
  • Charity clients · 3 to 6
    Nov 1, 2022 to Mar 9, 2023
  • Corporate clients · 11 to 9
    Nov 1, 2022 to Mar 9, 2023
  • HNW clients · 157 to 141
    Nov 1, 2022 to Mar 9, 2023
  • Individual clients · 291 to 393
    Nov 1, 2022 to Mar 9, 2023
  • Pension plan clients · 24 to 14
    Nov 1, 2022 to Mar 9, 2023
  • Assets in custody · $88.3M to $68.5M
    Nov 1, 2022 to Mar 9, 2023
  • Employees · 14 to 13
    Nov 1, 2022 to Mar 9, 2023
Signals
18 dated events
  • W•••••• • A••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $586.8M)
    Dec 20, 2025 · Left the SEC roster · derived
  • G•••••• A••• W•••••• left W•••••• • A••••••••• L•• for M••••• L••••• (registered 2014-05-05)
    Sep 12, 2025 · Advisor changed firm · fact
  • W•••••• M••••••• left W•••••• • A••••••••• L•• for C••• L•• (registered 2025-06-09)
    Sep 12, 2025 · Advisor changed firm · fact
  • E•••• Y•••• left W•••••• • A••••••••• L•• for C••• L•• (registered 2025-06-09)
    Sep 12, 2025 · Advisor changed firm · fact
  • C••••••••• J••• F••• left W•••••• • A••••••••• L•• for C••• L•• (registered 2025-06-09)
    Sep 12, 2025 · Advisor changed firm · fact
  • S•••• M•••••• C••••••• left W•••••• • A••••••••• L•• for C••• L•• (registered 2025-06-09)
    Sep 12, 2025 · Advisor changed firm · fact
  • B•••• A•••• J•••• left W•••••• • A••••••••• L•• for C••• L•• (registered 2025-06-10)
    Sep 12, 2025 · Advisor changed firm · fact
  • W•••••• • A••••••••• L••'s advisors moved to C••• L•• (Littleton, CO): 5 of 6 registered, on the same day
    Sep 12, 2025 · Firm absorbed (people side) · derived
  • K••• T••••• G••••• left W•••••• • A••••••••• L•• for M••• W••••• (registered 2025-03-25)
    Mar 26, 2025 · Advisor changed firm · fact
  • T•••• H•••••• left W•••••• • A••••••••• L•• for Townsend (registered 2025-02-28)
    Feb 18, 2025 · Advisor changed firm · fact
  • C•••••• D•••• A•••••• left W•••••• • A••••••••• L•• for M••••• L••••• (registered 2014-06-04)
    Nov 20, 2024 · Advisor changed firm · fact
  • J•••••• R•• V•• M••• left W•••••• • A••••••••• L•• for Savvy (registered 2024-11-26)
    Nov 20, 2024 · Advisor changed firm · fact
  • M••••••• C••••• G•••••••• left W•••••• • A••••••••• L•• for Savvy (registered 2026-01-14)
    Oct 1, 2024 · Advisor changed firm · fact
  • S•••• K• B••••• left W•••••• • A••••••••• L•• for B••••• W••••• M••••••••• (registered 2024-08-07)
    Aug 15, 2024 · Advisor changed firm · fact
  • W•••••• • A••••••••• L•• reported RAUM $564.7M, up 35% from $419.3M (2023-03-09 to 2024-03-11)
    Mar 11, 2024 · RAUM change · derived
  • W•••••• • A••••••••• L•• reported RAUM $453.8M, up 39% from $327.6M (2021-07-02 to 2022-03-24)
    Mar 24, 2022 · RAUM change · derived
  • Leland Jeff W•••••• (Chief Compliance Officer) no longer on Schedule A of W•••••• • A••••••••• L•• (listed 2019-07-09, absent 2019-07-26)
    Jul 26, 2019 · Control person left · inference
  • Jeff W•••••• (Chief Compliance Officer) appeared on Schedule A of W•••••• • A••••••••• L••
    Apr 25, 2019 · Control person joined · 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