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

Western Wealth Management LLC

Former SEC-registered adviserGolden, ColoradoCRD 167344SEC 801-77969IAPD
Latest filing Jun 1, 2016
First filing on the tape Apr 11, 2013 · 45 filings
RAUM
$618M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
52
52 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$618M as of Mar 30, 2016
Mar 31, 2014$80.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)52 as of Mar 30, 2016
Mar 31, 20148 then
Employees (5.A)52 as of Mar 30, 2016
Mar 31, 20149 then
Private funds: no history
RAUM +82% over the last fiscal yearIARs 21 to 52
Practice profile
derived from the filing of Jun 1, 2016; every figure names its basis
RAUM per advisor
$11.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$191,285derivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
1.4derived38 offices incl. principal (1.F.5)
RAUM growth, one year
+82%derivedbetween the last two annual amendments
Advisor growth, one year
+148%derivedItem 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, portfolio management for businesses and institutions, pension consulting, 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
  • is an insurance broker or agent (6.A.6)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,230reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
  • Dustin Darla Douglas · Chief Compliance Officercontrol
    since 03/2016 · owns less than 5%
  • Benjamin Cain Kobert · President And Chief Executive Officercontrol
    since 04/2016 · owns 75% or more
  • A Heather Bretz · Chief Operations Officer
    since 03/2016 · owns less than 5%
  • Ann Julie Coberly · Cheif Financial Officer
    since 04/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Arvada, CO
  • Boulder, CO
  • Boulder, CO
  • Boulder, CO
  • Broomfield, CO
  • Castle Pines, CO
  • Castle Rock, CO
  • Colorado Springs, CO
  • Colorado Springs, CO
  • Colorado Springs, CO
  • Colorado Springs, CO
  • Colorado Springs, CO
  • Denver, CO
  • Denver, CO
  • Denver, CO
  • Durango, CO
  • Edwards, CO
  • Englewood, CO
  • Fort Collins, CO
  • Fort Collins, CO
  • Franklin, TN
  • Greenwood Village, CO
  • Greenwood Village, CO
  • Greenwood Village, CO
  • Highlands Ranch, CO
What changed
consecutive filings, newest first
  • Accounts · 995 to 3,230
    Mar 14, 2016 to Mar 30, 2016
  • Advisory employees · 21 to 52
    Mar 14, 2016 to Mar 30, 2016
  • BD registered reps · 24 to 52
    Mar 14, 2016 to Mar 30, 2016
  • Employees · 24 to 52
    Mar 14, 2016 to Mar 30, 2016
  • Financial planning clients · 1-10 to 0
    Mar 14, 2016 to Mar 30, 2016
  • State-registered IARs · 21 to 52
    Mar 14, 2016 to Mar 30, 2016
  • Discretionary RAUM · $323M to $600M
    Mar 14, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · $15.6M to $17.7M
    Mar 14, 2016 to Mar 30, 2016
  • RAUM · $339M to $618M
    Mar 14, 2016 to Mar 30, 2016
  • BD registered reps · 22 to 24
    Dec 21, 2015 to Feb 19, 2016
  • Employees · 22 to 24
    Dec 21, 2015 to Feb 19, 2016
  • Accounts · 1,413 to 995
    May 11, 2015 to Jul 8, 2015
  • Discretionary RAUM · $339M to $323M
    May 11, 2015 to Jul 8, 2015
  • Non-discretionary RAUM · $0 to $15.6M
    May 11, 2015 to Jul 8, 2015
  • Accounts · 389 to 1,413
    Feb 2, 2015 to Feb 26, 2015
  • Advisory employees · 13 to 21
    Feb 2, 2015 to Feb 26, 2015
  • Advisory activities · 4 to 5
    Feb 2, 2015 to Feb 26, 2015
  • BD registered reps · 13 to 22
    Feb 2, 2015 to Feb 26, 2015
  • Employees · 13 to 22
    Feb 2, 2015 to Feb 26, 2015
  • State-registered IARs · 13 to 21
    Feb 2, 2015 to Feb 26, 2015
  • Discretionary RAUM · $56.7M to $339M
    Feb 2, 2015 to Feb 26, 2015
  • Non-discretionary RAUM · $46.6M to $0
    Feb 2, 2015 to Feb 26, 2015
  • RAUM · $103M to $339M
    Feb 2, 2015 to Feb 26, 2015
  • Advisory employees · 8 to 13
    Jun 9, 2014 to Aug 8, 2014
  • Advisory activities · 3 to 4
    Jun 9, 2014 to Aug 8, 2014
  • BD registered reps · 9 to 13
    Jun 9, 2014 to Aug 8, 2014
  • Employees · 9 to 13
    Jun 9, 2014 to Aug 8, 2014
  • Insurance-licensed employees · 1 to 0
    Jun 9, 2014 to Aug 8, 2014
  • State-registered IARs · 8 to 13
    Jun 9, 2014 to Aug 8, 2014
  • Accounts · 230 to 389
    Mar 31, 2014 to May 6, 2014
  • Discretionary RAUM · $75.3M to $56.7M
    Mar 31, 2014 to May 6, 2014
  • Non-discretionary RAUM · $4.8M to $46.6M
    Mar 31, 2014 to May 6, 2014
  • RAUM · $80.1M to $103M
    Mar 31, 2014 to May 6, 2014
  • Accounts · 72 to 230
    Dec 10, 2013 to Mar 31, 2014
  • Advisory employees · 7 to 8
    Dec 10, 2013 to Mar 31, 2014
  • BD registered reps · 7 to 9
    Dec 10, 2013 to Mar 31, 2014
  • Employees · 7 to 9
    Dec 10, 2013 to Mar 31, 2014
  • Insurance-licensed employees · 0 to 1
    Dec 10, 2013 to Mar 31, 2014
  • Financial planning clients · 0 to 1-10
    Dec 10, 2013 to Mar 31, 2014
  • State-registered IARs · 7 to 8
    Dec 10, 2013 to Mar 31, 2014
Signals
1 dated events
  • Western Wealth Management Llc filed its initial SEC registration (Form ADV)
    Apr 11, 2013 · 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.
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