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.
SEC-registered adviser
Urban Wealth Management Or Uwm
Legal name Urban Wealth Management Group LLC
Latest filing May 21, 2026
First filing on the tape Nov 14, 2016 · 48 filings
SEC status approved since Jan 3, 2017
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$196M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.8M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$213M as of May 21, 2026
Mar 12, 2018$112M then
HNW client RAUM$137M as of May 21, 2026
Mar 12, 2018$62.2M then
State-registered IARs (5.B.3)4 as of May 21, 2026
Mar 12, 20182 then
Employees (5.A)6 as of May 21, 2026
Mar 12, 20183 then
Private funds: no history
RAUM +5.2% over the last fiscal year+9.5% a year over threeIARs 3 to 4offices 0 to 4
Practice profile
derived from the filing of May 21, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $70.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $253,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -38%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M64%
- Individuals$59.0M28%
- Pension and profit-sharing plans$16.8M7.9%
- Individual clients
- 223reported
- HNW clients
- 52reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 837reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rene Annise NourseCertified Financial Planner | Henderson, Nv | May 15, 2017 | 40 y | 3 |
| April Lynn Charles | Henderson, Nv | May 18, 2017 | 22 y | 3 |
| Julia Marie Seroskie | Baltimore, Md | Feb 12, 2026 | 20 y | 2 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount3 left over 36 months
Left, latest
- Erin Mackenzie Ragsdale to Strategic Advisers LLCDec 19, 2025 · RIA to affiliated broker-dealer or bank
- Melanie Denise Perry to Sustainable Wealth Advisory GroupOct 3, 2025 · RIA to a state-registered adviser
- Roxana E Solorzano to Ameriprise Financial Services, LLCJun 6, 2024 · RIA to affiliated broker-dealer or bank
- Millu Chang Ramirez to Highline Wealth PartnersJul 26, 2023 · RIA to RIA
Joined, latest
- Julia Marie Seroskie from MML Investors Services, LLCFeb 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Erin Mackenzie Ragsdale from J.P. Morgan Securities LLCOct 14, 2025 · Wirehouse to independent RIA
- Roxana E Solorzano from Allstate Financial Advisors, LLCSep 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Melanie Denise Perry from Sagepoint Financial, Inc.Feb 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- Millu Chang Ramirez from Steelpeak Wealth, LLCMar 2, 2018 · Other
- April Lynn Charles from Concert Wealth ManagementMay 18, 2017 · Other
- Rene Annise Nourse from Concert Wealth ManagementMay 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Concert Wealth ManagementJun 30, 2017 · San Jose, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cecilia Lily Huber · Chief Operating Officer & Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Annise Rene Nourse · Managing Membercontrolsince 01/2017 · owns 75% or more
Related persons
Schedule D 7.A
- Uwm Insurance Services, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Henderson, Nv | 3 | 1 | 2 | ||
| Pasadena, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 25, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $202,076,994 to $212,506,644, advisors 3 to 3, private clients 444 to 275, offices 0 to 4 (2025-03-26 to 2026-03-25)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 25, 2026individual and HNW clients (Item 5.D) moved from 444.0 to 275.0 (-38.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was +3.0% (3310 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 3.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 25, 2026 to May 21, 2026
- Employees · 5 to 6Mar 25, 2026 to May 21, 2026
- State-registered IARs · 3 to 4Mar 25, 2026 to May 21, 2026
- Accounts · 797 to 837Feb 9, 2026 to Mar 25, 2026
- HNW clients · 51 to 52Feb 9, 2026 to Mar 25, 2026
- Individual clients · 393 to 223Feb 9, 2026 to Mar 25, 2026
- Pension plan clients · 29 to 6Feb 9, 2026 to Mar 25, 2026
- Assets in custody · $202M to $0Feb 9, 2026 to Mar 25, 2026
- Financial planning clients · 11-25 to 26-50Feb 9, 2026 to Mar 25, 2026
- HQ city · EL SEGUNDO to Feb 9, 2026 to Mar 25, 2026
- HQ state · CA to Feb 9, 2026 to Mar 25, 2026
- Other offices · 1 to 4Feb 9, 2026 to Mar 25, 2026
- Discretionary RAUM · $202M to $213MFeb 9, 2026 to Mar 25, 2026
- HNW RAUM · $130M to $137MFeb 9, 2026 to Mar 25, 2026
- Individual RAUM · $66.7M to $59.0MFeb 9, 2026 to Mar 25, 2026
- Pension RAUM · $5.6M to $16.8MFeb 9, 2026 to Mar 25, 2026
- RAUM · $202M to $213MFeb 9, 2026 to Mar 25, 2026
- Other offices · 0 to 1Dec 19, 2025 to Feb 9, 2026
- Advisory employees · 5 to 4Nov 6, 2025 to Dec 19, 2025
- Employees · 6 to 5Nov 6, 2025 to Dec 19, 2025
- State-registered IARs · 4 to 3Nov 6, 2025 to Dec 19, 2025
- Other offices · 1 to 0Nov 6, 2025 to Dec 19, 2025
- Advisory employees · 2 to 5Aug 29, 2025 to Nov 6, 2025
- Business name · URBAN WEALTH MANAGEMENT to URBAN WEALTH MANAGEMENT OR UWMAug 29, 2025 to Nov 6, 2025
- Employees · 4 to 6Aug 29, 2025 to Nov 6, 2025
- Insurance-licensed employees · 0 to 4Aug 29, 2025 to Nov 6, 2025
- State-registered IARs · 3 to 4Aug 29, 2025 to Nov 6, 2025
- Other offices · 0 to 1Mar 26, 2025 to Aug 29, 2025
- Accounts · 802 to 797Jun 6, 2024 to Mar 26, 2025
- Corporate clients · 16.0 to unsetJun 6, 2024 to Mar 26, 2025
- HNW clients · 44 to 51Jun 6, 2024 to Mar 26, 2025
- Individual clients · 334 to 393Jun 6, 2024 to Mar 26, 2025
- Pension plan clients · 13 to 29Jun 6, 2024 to Mar 26, 2025
- Assets in custody · $175M to $202MJun 6, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 11-25Jun 6, 2024 to Mar 26, 2025
- Discretionary RAUM · $189M to $202MJun 6, 2024 to Mar 26, 2025
- HNW RAUM · $93.5M to $130MJun 6, 2024 to Mar 26, 2025
- Individual RAUM · $80.6M to $66.7MJun 6, 2024 to Mar 26, 2025
- Pension RAUM · $9.4M to $5.6MJun 6, 2024 to Mar 26, 2025
- RAUM · $189M to $202MJun 6, 2024 to Mar 26, 2025
Signals
6 dated events
- Erin Mackenzie Ragsdale left Urban Wealth Management Or Uwm for Strategic Advisers Llc (registered 2026-06-23)Dec 19, 2025 · Advisor changed firm · fact
- Melanie Denise Perry left Urban Wealth Management Or Uwm for Sustainable Wealth Advisory Group (registered 2025-10-13)Oct 3, 2025 · Advisor changed firm · fact
- Roxana E Solorzano left Urban Wealth Management Or Uwm for Ameriprise Financial Services, Llc (registered 2024-05-31)Jun 6, 2024 · Advisor changed firm · fact
- Millu Chang Ramirez left Urban Wealth Management Or Uwm for Highline Wealth Partners (registered 2023-07-20)Jul 26, 2023 · Advisor changed firm · fact
- Cecilia Lily Rocha (Chief Operations Officer) appeared on Schedule A of Urban Wealth Management Or UwmMay 10, 2022 · Control person joined · fact
- Urban Wealth Management Llc filed its initial SEC registration (Form ADV)Nov 14, 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
- Business email
- info@urbanwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 424-277-2260reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/uwmgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- urbanwm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 424-277-2260reportedpublic record, Form ADV, May 21, 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
- $70.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026