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
H•••••• • S•••••• W••••• S••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Sep 11, 2020 · 17 filings
SEC status approved since Oct 9, 2020
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$278M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$279M as of Mar 17, 2026
Mar 30, 2021$113M then
HNW client RAUM$226M as of Mar 17, 2026
Mar 30, 2021$69.4M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 30, 20213 then
Employees (5.A)6 as of Mar 17, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +30% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $324,571derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $279MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$226M81%
- Individuals$51.7M19%
- Corporations and businesses$1.8M0.6%
- Individual clients
- 133reported
- HNW clients
- 102reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 861reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• L••••• S••••••Certified Financial Planner | Denver, Co | May 26, 2017 | 17 y | 2 |
| S••••• G•••• H••••••Certified Financial Planner | Denver, Co | Jun 1, 2017 | 21 y | 1 |
| M•••• J••••• C•••••Certified Financial Planner | Denver, Co | Jan 8, 2025 | 13 y | 2 |
| L•••• K•••••• S•••••• | Denver, Co | Mar 27, 2026 | 13 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
- C•••••• S•••• to C••••••• A•••• M••••••••• L••Apr 19, 2023 · RIA to RIA
Joined, latest
- M•••• J••••• C••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 8, 2025 · Other
- C•••••• S•••• from R••••••••• C•••••• M•••••••••Sep 2, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• G•••• H•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 1, 2017 · Other
- A•••••• L••••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 30, 2017 · Broomfield, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••• J••••• · Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- H••••••• S•••••• G•••• · Membercontrolsince 12/2015 · owns 50% to 75%
- S••••••• A••••••• L••••• · Membercontrolsince 12/2015 · owns 75% or more of A•••••• L• S•••••• I••
Entity owners
- A•••••• L• S•••••• I•• · Memberdirect · 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 | 4 | 1 | 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 17, 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 $215,146,264 to $279,455,572, advisors 3 to 3, private clients 349 to 235, offices 0 to 0 (2025-03-24 to 2026-03-17)peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 17, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-01-02, no on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 782 to 861Jan 2, 2026 to Mar 17, 2026
- Advisory activities · 3 to 2Jan 2, 2026 to Mar 17, 2026
- Charity clients · 3 to 0Jan 2, 2026 to Mar 17, 2026
- Corporate clients · 2 to 4Jan 2, 2026 to Mar 17, 2026
- HNW clients · 171 to 102Jan 2, 2026 to Mar 17, 2026
- Individual clients · 178 to 133Jan 2, 2026 to Mar 17, 2026
- Employees · 5 to 6Jan 2, 2026 to Mar 17, 2026
- Insurance-licensed employees · 3 to 0Jan 2, 2026 to Mar 17, 2026
- Financial planning clients · 251-500 to 101-250Jan 2, 2026 to Mar 17, 2026
- Discretionary RAUM · $215M to $279MJan 2, 2026 to Mar 17, 2026
- HNW RAUM · $170M to $226MJan 2, 2026 to Mar 17, 2026
- Individual RAUM · $43.5M to $51.7MJan 2, 2026 to Mar 17, 2026
- RAUM · $215M to $279MJan 2, 2026 to Mar 17, 2026
- Accounts · 805 to 782Mar 14, 2024 to Mar 24, 2025
- Corporate clients · 0 to 2Mar 14, 2024 to Mar 24, 2025
- HNW clients · 72 to 171Mar 14, 2024 to Mar 24, 2025
- Individual clients · 133 to 178Mar 14, 2024 to Mar 24, 2025
- Employees · 4 to 5Mar 14, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 251-500Mar 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $185M to $215MMar 14, 2024 to Mar 24, 2025
- HNW RAUM · $130M to $170MMar 14, 2024 to Mar 24, 2025
- Individual RAUM · $53.6M to $43.5MMar 14, 2024 to Mar 24, 2025
- RAUM · $185M to $215MMar 14, 2024 to Mar 24, 2025
- Wrap assets (sponsor) · $185M to $0Mar 14, 2024 to Mar 24, 2025
- Accounts · 646 to 805Apr 19, 2023 to Mar 14, 2024
- Charity clients · 2 to 3Apr 19, 2023 to Mar 14, 2024
- HNW clients · 41 to 72Apr 19, 2023 to Mar 14, 2024
- Individual clients · 150 to 133Apr 19, 2023 to Mar 14, 2024
- Financial planning clients · 0 to 101-250Apr 19, 2023 to Mar 14, 2024
- Discretionary RAUM · $145M to $185MApr 19, 2023 to Mar 14, 2024
- HNW RAUM · $76.8M to $130MApr 19, 2023 to Mar 14, 2024
- Individual RAUM · $64.6M to $53.6MApr 19, 2023 to Mar 14, 2024
- RAUM · $145M to $185MApr 19, 2023 to Mar 14, 2024
- Wrap assets (sponsor) · $145M to $185MApr 19, 2023 to Mar 14, 2024
- Advisory employees · 4 to 3Mar 14, 2023 to Apr 19, 2023
- Employees · 5 to 4Mar 14, 2023 to Apr 19, 2023
- State-registered IARs · 4 to 3Mar 14, 2023 to Apr 19, 2023
- Accounts · 592 to 646Dec 15, 2022 to Mar 14, 2023
- Charity clients · 3 to 2Dec 15, 2022 to Mar 14, 2023
- HNW clients · 43 to 41Dec 15, 2022 to Mar 14, 2023
Signals
2 dated events
- C•••••• S•••• left H•••••• • S•••••• W••••• S••••••••• L•• for C••••••• A•••• M••••••••• L•• (registered 2023-06-20)Apr 19, 2023 · Advisor changed firm · fact
- H• W••••• S••••••••• L•• 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
- alexis@hswscolorado.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- courtney@hswscolorado.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- eric@hswscolorado.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rich@hswscolorado.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-287-0918reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- hswscolorado.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (720) 287-0918reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- hswscolorado.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hswscolorado.com/team-memberreportedpublished by the firm, firm site, Sep 15, 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
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026