DFX Intelligence

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W•••• W••••• M••••••••• A•• F•••••••• P••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $153M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $153M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +6.2%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Feb 2026, RAUM $144M to $153M (+6.2%) on the Form ADV filed 24 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 285107 · SEC 801-108404 · 16 filingsShow

CRD 285107SEC 801-108404First filing on the tape Sep 8, 2016, latest Feb 24, 2026SEC status approved since Sep 29, 2016IAPD

RAUM

$153M

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

100%

$153M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$153M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +8.2% a year over three years · the tape starts Sep 8, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$153M as of Feb 24, 2026

Jan 31, 2017$102M then

HNW client RAUM$133M as of Feb 24, 2026

Feb 14, 2018$72.6M then

State-registered IARs (5.B.3)1 as of Feb 24, 2026

Jan 31, 20171 then

Employees (5.A)3 as of Feb 24, 2026

Jan 31, 20173 then

Private funds: no history

RAUM +6.2% over the last fiscal year+8.2% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 24, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 121derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $322,288derivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +6.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody: $61.6M, 133 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

87% high-net-worth individuals, 13% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$133M87%
Individuals$19.6M13%

Individual clients: 53reported
HNW clients: 68reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 474reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $61.6M for 133 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

G•••• A••• W•••• from G••••• F•••••••• S•••••••••
Oct 11, 2016 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
G•••• A••• W••••	Longmont, Co	Oct 11, 2016	33 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••• G••••• A••• · Owner, Managing Member, Chief Compliance Officercontrol
since 08/2016 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 646 to 474
Feb 7, 2025 to Feb 24, 2026
HNW clients · 48 to 68
Feb 7, 2025 to Feb 24, 2026
Individual clients · 74 to 53
Feb 7, 2025 to Feb 24, 2026
Assets in custody · $9.6M to $61.6M
Feb 7, 2025 to Feb 24, 2026
Discretionary RAUM · $137M to $145M
Feb 7, 2025 to Feb 24, 2026

Full history · 80 changes

HNW RAUM · $112M to $133M
Feb 7, 2025 to Feb 24, 2026
Individual RAUM · $31.9M to $19.6M
Feb 7, 2025 to Feb 24, 2026
Non-discretionary RAUM · $6.7M to $7.5M
Feb 7, 2025 to Feb 24, 2026
RAUM · $144M to $153M
Feb 7, 2025 to Feb 24, 2026
Accounts · 635 to 646
Mar 25, 2024 to Feb 7, 2025
HNW clients · 45 to 48
Mar 25, 2024 to Feb 7, 2025
Individual clients · 85 to 74
Mar 25, 2024 to Feb 7, 2025
Assets in custody · $54.2M to $9.6M
Mar 25, 2024 to Feb 7, 2025
Financial planning clients · 0 to 0
Mar 25, 2024 to Feb 7, 2025
HQ city · unset to
Mar 25, 2024 to Feb 7, 2025
HQ state · unset to
Mar 25, 2024 to Feb 7, 2025
Discretionary RAUM · $128M to $137M
Mar 25, 2024 to Feb 7, 2025
HNW RAUM · $95.2M to $112M
Mar 25, 2024 to Feb 7, 2025
Individual RAUM · $39.1M to $31.9M
Mar 25, 2024 to Feb 7, 2025
Non-discretionary RAUM · $5.9M to $6.7M
Mar 25, 2024 to Feb 7, 2025
RAUM · $134M to $144M
Mar 25, 2024 to Feb 7, 2025
Accounts · 625 to 635
Mar 14, 2023 to Mar 25, 2024
HNW clients · 61 to 45
Mar 14, 2023 to Mar 25, 2024
Individual clients · 76 to 85
Mar 14, 2023 to Mar 25, 2024
Assets in custody · $44.7M to $54.2M
Mar 14, 2023 to Mar 25, 2024
Financial planning clients · 101-250 to 0
Mar 14, 2023 to Mar 25, 2024
Discretionary RAUM · $116M to $128M
Mar 14, 2023 to Mar 25, 2024
HNW RAUM · $94.9M to $95.2M
Mar 14, 2023 to Mar 25, 2024
Individual RAUM · $25.6M to $39.1M
Mar 14, 2023 to Mar 25, 2024
Non-discretionary RAUM · $4.2M to $5.9M
Mar 14, 2023 to Mar 25, 2024
RAUM · $121M to $134M
Mar 14, 2023 to Mar 25, 2024
Accounts · 603 to 625
Mar 3, 2022 to Mar 14, 2023
HNW clients · 50 to 61
Mar 3, 2022 to Mar 14, 2023
Individual clients · 88 to 76
Mar 3, 2022 to Mar 14, 2023
Assets in custody · $71.8M to $44.7M
Mar 3, 2022 to Mar 14, 2023
Financial planning clients · 0 to 101-250
Mar 3, 2022 to Mar 14, 2023
Discretionary RAUM · $132M to $116M
Mar 3, 2022 to Mar 14, 2023
HNW RAUM · $99.5M to $94.9M
Mar 3, 2022 to Mar 14, 2023
Individual RAUM · $39.3M to $25.6M
Mar 3, 2022 to Mar 14, 2023
Non-discretionary RAUM · $6.3M to $4.2M
Mar 3, 2022 to Mar 14, 2023
RAUM · $139M to $121M
Mar 3, 2022 to Mar 14, 2023
Accounts · 564 to 603
Feb 24, 2021 to Mar 3, 2022
HNW clients · 45 to 50
Feb 24, 2021 to Mar 3, 2022
Individual clients · 93 to 88
Feb 24, 2021 to Mar 3, 2022
Assets in custody · $56.0M to $71.8M
Feb 24, 2021 to Mar 3, 2022
Discretionary RAUM · $122M to $132M
Feb 24, 2021 to Mar 3, 2022
HNW RAUM · $85.2M to $99.5M
Feb 24, 2021 to Mar 3, 2022
Individual RAUM · $41.8M to $39.3M
Feb 24, 2021 to Mar 3, 2022
Non-discretionary RAUM · $5.1M to $6.3M
Feb 24, 2021 to Mar 3, 2022
RAUM · $127M to $139M
Feb 24, 2021 to Mar 3, 2022
Accounts · 544 to 564
Jun 25, 2020 to Feb 24, 2021
HNW clients · 44 to 45
Jun 25, 2020 to Feb 24, 2021
Individual clients · 90 to 93
Jun 25, 2020 to Feb 24, 2021
Assets in custody · $10.1M to $56.0M
Jun 25, 2020 to Feb 24, 2021
Insurance-licensed employees · 1 to 0
Jun 25, 2020 to Feb 24, 2021
Discretionary RAUM · $114M to $122M
Jun 25, 2020 to Feb 24, 2021
HNW RAUM · $79.5M to $85.2M
Jun 25, 2020 to Feb 24, 2021
Individual RAUM · $39.6M to $41.8M
Jun 25, 2020 to Feb 24, 2021
Non-discretionary RAUM · $4.7M to $5.1M
Jun 25, 2020 to Feb 24, 2021
RAUM · $119M to $127M
Jun 25, 2020 to Feb 24, 2021
Accounts · 445 to 544
Oct 1, 2019 to Feb 17, 2020
HNW clients · 40 to 44
Oct 1, 2019 to Feb 17, 2020
Individual clients · 96 to 90
Oct 1, 2019 to Feb 17, 2020
Assets in custody · $1.7M to $10.1M
Oct 1, 2019 to Feb 17, 2020
Discretionary RAUM · $100M to $114M
Oct 1, 2019 to Feb 17, 2020
HNW RAUM · $64.7M to $79.5M
Oct 1, 2019 to Feb 17, 2020
Individual RAUM · $39.5M to $39.6M
Oct 1, 2019 to Feb 17, 2020
Non-discretionary RAUM · $3.9M to $4.7M
Oct 1, 2019 to Feb 17, 2020
RAUM · $104M to $119M
Oct 1, 2019 to Feb 17, 2020
Accounts · 518 to 445
Feb 14, 2018 to Mar 1, 2019
HNW clients · 44 to 40
Feb 14, 2018 to Mar 1, 2019
Individual clients · 94 to 96
Feb 14, 2018 to Mar 1, 2019
Assets in custody · $108M to $1.7M
Feb 14, 2018 to Mar 1, 2019
Discretionary RAUM · $108M to $100M
Feb 14, 2018 to Mar 1, 2019
HNW RAUM · $72.6M to $64.7M
Feb 14, 2018 to Mar 1, 2019
Individual RAUM · $39.2M to $39.5M
Feb 14, 2018 to Mar 1, 2019
Non-discretionary RAUM · $3.8M to $3.9M
Feb 14, 2018 to Mar 1, 2019
RAUM · $112M to $104M
Feb 14, 2018 to Mar 1, 2019
Accounts · 507 to 518
May 15, 2017 to Feb 14, 2018
HNW clients · unset to 44.0
May 15, 2017 to Feb 14, 2018

Signals

1 dated events

••• Locked
Sep 8, 2016 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $153Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026