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
N••••••••• W••••• M•••••••••
Legal name N••••••••• W••••• M••••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Sep 11, 2020 · 24 filings
SEC status approved since Oct 26, 2020
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$103M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$12.9M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$103M as of Mar 11, 2026
Feb 22, 2021$109M then
HNW client RAUM$24.3M as of Mar 11, 2026
Feb 22, 2021$29.1M then
State-registered IARs (5.B.3)8 as of Mar 11, 2026
Feb 22, 20218 then
Employees (5.A)8 as of Mar 11, 2026
Feb 22, 20218 then
Private funds: no history
RAUM -19% over the last fiscal year-2.0% a year over threeIARs 10 to 8offices 0 to 1
Practice profile
derived from the filing of Mar 11, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $12.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $79,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$78.4M76%
- High-net-worth individuals$24.3M24%
- Corporations and businesses$426,5500.4%
- Charitable organizations$98,2280.1%
- Individual clients
- 940reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,302reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• E••••• B••••• | Fort Collins, Co | Apr 5, 2016 | 23 y | 1 |
| N••••••• D••• K••• | Fort Collins, Co | Apr 26, 2016 | 13 y | 1 |
| J•••• W• D••••• | Fort Collins, Co | Apr 26, 2016 | 16 y | 2 |
| M•••••• M•••• | Fort Collins, Co | May 1, 2024 | 13 y | 0 |
| W•••••• L•••• C•••••••• | Fort Collins, Co | Dec 11, 2025 | 48 y | 0 |
| M•••• P•••••• O••••••• | Fort Collins, Co | Jan 1, 2026 | 20 y | 7 |
| S••• B••••• | Fort Collins, Co | Jan 2, 2026 | 17 y | 0 |
| J•••• S••••••• | Fort Collins, Co | Mar 6, 2026 | 13 y | 0 |
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 38% of current headcount3 left over 36 months
Left, latest
- C•••••• C•••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 6, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• D•••• S•••••••• to K••••••• F•••••••• S•••••••Dec 31, 2025 · RIA to RIA
- C••••••••• W•••••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 25, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• L•••• to C•••••• S••••• • C••• I•••Mar 3, 2020 · RIA to affiliated broker-dealer or bank
- S••• C•••••• E•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Aug 7, 2017 · Other
- A••••• P•••••• L•••• to F•••••••• A••••• W••••• M••••••••• L••Aug 2, 2017 · RIA to a state-registered adviser
Joined, latest
- M•••• P•••••• O••••••• from B••••••••• W••••• A•••••••• L••Jan 1, 2026 · RIA to RIA
- M•••••• L•••• from N••••••••• M••••• I••••••••• S•••••••••Nov 10, 2017 · Other
- C••••••••• W•••••• S•••••• from E••••• J••••Mar 1, 2017 · Affiliated broker-dealer or bank to independent RIA
- J•••• W• D••••• from S••Apr 26, 2016 · Other
- A••••• P•••••• L•••• from S••Apr 26, 2016 · Other
- S••• C•••••• E•••• from S••Apr 26, 2016 · Other
- N••••••• D••• K••• from S••Apr 26, 2016 · Other
- A••• E••••• B••••• from S••Apr 5, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• E••••• · President/Chief Compliance Officercontrolsince 01/2016 · owns 75% or more
Related persons
Schedule D 7.A
- J••••• H••••••investment companyy
- M•••••• M••••y
- N••••••••• F•••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Collins, Co · principal | 8 | 4 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,470 to 1,302Jan 2, 2026 to Feb 26, 2026
- Advisory employees · 10 to 8Jan 2, 2026 to Feb 26, 2026
- Corporate clients · 9 to 7Jan 2, 2026 to Feb 26, 2026
- HNW clients · 17 to 14Jan 2, 2026 to Feb 26, 2026
- Individual clients · 1,018 to 940Jan 2, 2026 to Feb 26, 2026
- Employees · 10 to 8Jan 2, 2026 to Feb 26, 2026
- State-registered IARs · 9 to 8Jan 2, 2026 to Feb 26, 2026
- Discretionary RAUM · $128M to $103MJan 2, 2026 to Feb 26, 2026
- HNW RAUM · $34.7M to $24.3MJan 2, 2026 to Feb 26, 2026
- Individual RAUM · $92.5M to $78.4MJan 2, 2026 to Feb 26, 2026
- RAUM · $128M to $103MJan 2, 2026 to Feb 26, 2026
- Advisory employees · 11 to 10Feb 21, 2025 to Nov 7, 2025
- Employees · 11 to 10Feb 21, 2025 to Nov 7, 2025
- State-registered IARs · 10 to 9Feb 21, 2025 to Nov 7, 2025
- Other offices · 0 to 1Feb 21, 2025 to Nov 7, 2025
- Financial planning clients · 51-100 to 51-100Jan 16, 2025 to Feb 21, 2025
- Accounts · 1,427 to 1,470Nov 26, 2024 to Jan 16, 2025
- Charity clients · 3 to 1Nov 26, 2024 to Jan 16, 2025
- Corporate clients · unset to 9.0Nov 26, 2024 to Jan 16, 2025
- HNW clients · 7 to 17Nov 26, 2024 to Jan 16, 2025
- Individual clients · 975 to 1,018Nov 26, 2024 to Jan 16, 2025
- Financial planning clients · 251-500 to 51-100Nov 26, 2024 to Jan 16, 2025
- Discretionary RAUM · $140M to $128MNov 26, 2024 to Jan 16, 2025
- HNW RAUM · $22.6M to $34.7MNov 26, 2024 to Jan 16, 2025
- Individual RAUM · $117M to $92.5MNov 26, 2024 to Jan 16, 2025
- RAUM · $140M to $128MNov 26, 2024 to Jan 16, 2025
- Advisory employees · 10 to 11Aug 21, 2024 to Nov 26, 2024
- Employees · 10 to 11Aug 21, 2024 to Nov 26, 2024
- State-registered IARs · 9 to 10Aug 21, 2024 to Nov 26, 2024
- Accounts · 1,311 to 1,427May 1, 2024 to Aug 21, 2024
- Charity clients · 2 to 3May 1, 2024 to Aug 21, 2024
- Corporate clients · 7.0 to unsetMay 1, 2024 to Aug 21, 2024
- HNW clients · 6 to 7May 1, 2024 to Aug 21, 2024
- Individual clients · 877 to 975May 1, 2024 to Aug 21, 2024
- Insurance-licensed employees · 1 to 0May 1, 2024 to Aug 21, 2024
- Discretionary RAUM · $129M to $140MMay 1, 2024 to Aug 21, 2024
- HNW RAUM · $16.9M to $22.6MMay 1, 2024 to Aug 21, 2024
- Individual RAUM · $111M to $117MMay 1, 2024 to Aug 21, 2024
- RAUM · $129M to $140MMay 1, 2024 to Aug 21, 2024
- Advisory employees · 9 to 10Apr 1, 2024 to May 1, 2024
Signals
4 dated events
- C•••••• C•••••••• S••••••• left N••••••••• W••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-16)Mar 6, 2026 · Advisor changed firm · fact
- M•••••• D•••• S•••••••• left N••••••••• W••••• M••••••••• for K••••••• F•••••••• S••••••• (registered 2026-01-05)Dec 31, 2025 · Advisor changed firm · fact
- C••••••••• W•••••• S•••••• left N••••••••• W••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-01-02)Sep 25, 2025 · Advisor changed firm · fact
- N••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 11, 2020 · 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
- jim@navwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 970-672-1236reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/navwmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NAVWM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 970-672-1236reportedpublic record, Form ADV, Mar 11, 2026
- Team page
- NAVWM.COM/our-teamreportedpublished 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
- $12.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026