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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SEC-registered adviser
W••• E•• W••••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Jun 15, 2015 · 16 filings
SEC status approved since Apr 1, 2022
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$170M as of Feb 23, 2026
Feb 6, 2023$96.5M then
HNW client RAUM$161M as of Feb 23, 2026
Feb 6, 2023$94.4M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Feb 6, 20232 then
Employees (5.A)2 as of Feb 23, 2026
Feb 6, 20232 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $85.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $69.8M, 39 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$161M94%
- Individuals$9.5M5.6%
- Individual clients
- 20reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.8M for 39 clientsreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| M•••• L•• B•••• | Denver, Co | Jul 2, 2015 | 24 y | 2 |
| J••• A• T•••••••Certified Financial Planner | Denver, Co | Jul 2, 2015 | 11 y | 0 |
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•••• L•• B•••• from U•• F•••••••• S•••••••• I•••Jul 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••• L•• · Managing Membercontrolsince 07/2015 · owns 50% to 75%
- T•••••••• J•••• A• · Chief Compliance Officer And Managing Membercontrolsince 07/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 141 to 151Jan 22, 2025 to Feb 23, 2026
- HNW clients · 31 to 33Jan 22, 2025 to Feb 23, 2026
- Individual clients · 19 to 20Jan 22, 2025 to Feb 23, 2026
- Assets in custody · $52.6M to $69.8MJan 22, 2025 to Feb 23, 2026
- Discretionary RAUM · $143M to $170MJan 22, 2025 to Feb 23, 2026
- HNW RAUM · $137M to $161MJan 22, 2025 to Feb 23, 2026
- Individual RAUM · $6.9M to $9.5MJan 22, 2025 to Feb 23, 2026
- RAUM · $143M to $170MJan 22, 2025 to Feb 23, 2026
- Accounts · 133 to 141Jan 26, 2024 to Jan 22, 2025
- HNW clients · 27 to 31Jan 26, 2024 to Jan 22, 2025
- Individual clients · 16 to 19Jan 26, 2024 to Jan 22, 2025
- Assets in custody · $4.9M to $52.6MJan 26, 2024 to Jan 22, 2025
- Financial planning clients · 11-25 to 11-25Jan 26, 2024 to Jan 22, 2025
- Discretionary RAUM · $108M to $143MJan 26, 2024 to Jan 22, 2025
- HNW RAUM · $100M to $137MJan 26, 2024 to Jan 22, 2025
- Individual RAUM · $7.5M to $6.9MJan 26, 2024 to Jan 22, 2025
- RAUM · $108M to $143MJan 26, 2024 to Jan 22, 2025
- Accounts · 116 to 133Feb 6, 2023 to Jan 26, 2024
- HNW clients · 29 to 27Feb 6, 2023 to Jan 26, 2024
- Individual clients · 8 to 16Feb 6, 2023 to Jan 26, 2024
- Discretionary RAUM · $96.5M to $108MFeb 6, 2023 to Jan 26, 2024
- HNW RAUM · $94.4M to $100MFeb 6, 2023 to Jan 26, 2024
- Individual RAUM · $2.1M to $7.5MFeb 6, 2023 to Jan 26, 2024
- RAUM · $96.5M to $108MFeb 6, 2023 to Jan 26, 2024
- Accounts · 112 to 116Jun 1, 2022 to Feb 6, 2023
- HNW clients · 25 to 29Jun 1, 2022 to Feb 6, 2023
- Individual clients · 14 to 8Jun 1, 2022 to Feb 6, 2023
- Financial planning clients · 0 to 11-25Jun 1, 2022 to Feb 6, 2023
- Discretionary RAUM · $109M to $96.5MJun 1, 2022 to Feb 6, 2023
- HNW RAUM · $102M to $94.4MJun 1, 2022 to Feb 6, 2023
- Individual RAUM · $6.5M to $2.1MJun 1, 2022 to Feb 6, 2023
- RAUM · $109M to $96.5MJun 1, 2022 to Feb 6, 2023
- Assets in custody · unset to 4889734.0Feb 6, 2023 to Feb 6, 2023
- Custody of client assets · false to trueFeb 6, 2023 to Feb 6, 2023
- HQ city · GREENWOOD VILLAGE to DENVERMar 28, 2022 to Jun 1, 2022
- Accounts · 31 to 112Dec 23, 2015 to Mar 4, 2022
- Advisory activities · 1 to 2Dec 23, 2015 to Mar 4, 2022
- HNW clients · unset to 25.0Dec 23, 2015 to Mar 4, 2022
- Individual clients · unset to 14.0Dec 23, 2015 to Mar 4, 2022
- Financial planning clients · unset to 0Dec 23, 2015 to Mar 4, 2022
Signals
1 dated events
- W••• E•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2015 · 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 email
- i•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-593-9396reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••ENDWEALTHMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-593-9396reportedpublic record, Form ADV, Feb 23, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $85.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026