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••••••••• A•••••••• L••
Latest filing May 8, 2026
First filing on the tape Sep 3, 2020 · 18 filings
SEC status approved since Oct 2, 2020
RAUM
$325M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$320M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$64.9M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$325M as of May 8, 2026
Feb 5, 2021$167M then
HNW client RAUM$291M as of May 8, 2026
Feb 5, 2021$123M then
State-registered IARs (5.B.3)6 as of May 8, 2026
Feb 5, 20214 then
Employees (5.A)6 as of May 8, 2026
Feb 5, 20215 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 7 to 6
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- $64.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $865,359derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +167%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- 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$291M90%
- Individuals$29.7M9.2%
- Corporations and businesses$3.6M1.1%
- Charitable organizations$600,2160.2%
- Individual clients
- 169reported
- HNW clients
- 197reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 375reported
- Financial planning clients
- 1-10reported
- 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=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• L••• F••••• | Littleton, Co | Jun 2, 2016 | 27 y | 1 |
| R•••••• J•• W•••••• | Littleton, Co | Aug 9, 2016 | 45 y | 1 |
| J••••• E••••• H••••••Certified Financial Planner | Littleton, Co | Feb 3, 2020 | 35 y | 2 |
| R••••• D•••• N•• | Littleton, Co | Jul 26, 2022 | 39 y | 3 |
| S•••• S••••••• | Littleton, Co | Apr 2, 2024 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- R••••• A••• B••••• to V••••••••• S•••••••• L••May 28, 2026 · RIA to RIA
Joined, latest
- R••••• D•••• N•• from M•••••• A•••• M••••••••• L••Jul 26, 2022 · Other
- R••••• A••• B••••• from F•••• F•••••••• E••••• C•••••••••Oct 20, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••• E••••• H•••••• from F•••• F•••••••• E••••• C•••••••••Feb 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•• W•••••• from F•••• F•••••••• E••••• C•••••••••Aug 9, 2016 · Other
- M••• L••• F••••• from F•••• F•••••••• E••••• C•••••••••Jun 2, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••• F•••••••• E••••• C•••••••••Feb 5, 2016 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M•••• L••• · Membercontrolsince 01/2016 · owns 25% to 50%
- H••••••• J•••••• E••••• · Member, Ccocontrolsince 02/2020 · owns 25% to 50%
- W••••••• R••••••• J•• · Membercontrolsince 01/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- W••••••••• C•••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Littleton, Co · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 13, 2026individual and HNW clients (Item 5.D) moved from 137.0 to 366.0 (+167.0%) between the annual amendments of 2025-03-21 and 2026-03-13; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 371 to 375Mar 21, 2025 to Mar 13, 2026
- Advisory employees · 7 to 6Mar 21, 2025 to Mar 13, 2026
- Charity clients · 7 to 6Mar 21, 2025 to Mar 13, 2026
- Corporate clients · 4 to 5Mar 21, 2025 to Mar 13, 2026
- HNW clients · 46 to 197Mar 21, 2025 to Mar 13, 2026
- Individual clients · 91 to 169Mar 21, 2025 to Mar 13, 2026
- Employees · 7 to 6Mar 21, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 1-10Mar 21, 2025 to Mar 13, 2026
- State-registered IARs · 7 to 6Mar 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $284M to $320MMar 21, 2025 to Mar 13, 2026
- HNW RAUM · $254M to $291MMar 21, 2025 to Mar 13, 2026
- Individual RAUM · $31.1M to $29.7MMar 21, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $3.7M to $4.0MMar 21, 2025 to Mar 13, 2026
- RAUM · $288M to $325MMar 21, 2025 to Mar 13, 2026
- Accounts · 349 to 371Apr 1, 2024 to Mar 21, 2025
- Advisory employees · 5 to 7Apr 1, 2024 to Mar 21, 2025
- Corporate clients · unset to 4.0Apr 1, 2024 to Mar 21, 2025
- HNW clients · 38 to 46Apr 1, 2024 to Mar 21, 2025
- Individual clients · 90 to 91Apr 1, 2024 to Mar 21, 2025
- Employees · 6 to 7Apr 1, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 0Apr 1, 2024 to Mar 21, 2025
- State-registered IARs · 5 to 7Apr 1, 2024 to Mar 21, 2025
- Discretionary RAUM · $264M to $284MApr 1, 2024 to Mar 21, 2025
- HNW RAUM · $233M to $254MApr 1, 2024 to Mar 21, 2025
- Individual RAUM · $34.3M to $31.1MApr 1, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $3.3M to $3.7MApr 1, 2024 to Mar 21, 2025
- RAUM · $267M to $288MApr 1, 2024 to Mar 21, 2025
- Accounts · 327 to 349Mar 8, 2023 to Feb 7, 2024
- Charity clients · 6 to 7Mar 8, 2023 to Feb 7, 2024
- HNW clients · 43 to 38Mar 8, 2023 to Feb 7, 2024
- Individual clients · 87 to 90Mar 8, 2023 to Feb 7, 2024
- Insurance-licensed employees · 5 to 0Mar 8, 2023 to Feb 7, 2024
- Financial planning clients · 11-25 to 1-10Mar 8, 2023 to Feb 7, 2024
- State-registered IARs · 3 to 5Mar 8, 2023 to Feb 7, 2024
- Discretionary RAUM · $205M to $264MMar 8, 2023 to Feb 7, 2024
- HNW RAUM · $184M to $233MMar 8, 2023 to Feb 7, 2024
- Individual RAUM · $23.6M to $34.3MMar 8, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $2.7M to $3.3MMar 8, 2023 to Feb 7, 2024
- RAUM · $208M to $267MMar 8, 2023 to Feb 7, 2024
- Accounts · 344 to 327Nov 3, 2022 to Mar 8, 2023
Signals
2 dated events
- R••••• A••• B••••• left W••••••••• A•••••••• L•• for V••••••••• S•••••••• L•• (registered 2026-05-26)May 28, 2026 · Advisor changed firm · fact
- W••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 3, 2020 · ria f•••• adv filing · 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
- Principal office phone
- 303-551-8016reportedpublic record, Form ADV, May 8, 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
- $64.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026