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O••••••• F••••••••

Independent wealth managerSEC-registered· Boulder, Coloradowebsite

Independent wealth manager, based in Boulder, Colorado, reporting $151M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$151M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+28%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $151M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 6 Mar 2026, RAUM $118M to $151M (+28.4%) on the Form ADV filed 6 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 287697 · SEC 801-131224 · 4 filingsShow
CRD 287697SEC 801-131224Legal name O••••••• F••••••••• I•••First filing on the tape Aug 29, 2024, latest Mar 6, 2026SEC status approved since Sep 26, 2024IAPD
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape

RAUM +28% over the last fiscal year · the tape starts Aug 29, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$151M as of Mar 6, 2026
Mar 28, 2025$118M then
HNW client RAUM$142M as of Mar 6, 2026
Mar 28, 2025$108M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 28, 20251 then
Employees (5.A)1 as of Mar 6, 2026
Mar 28, 20251 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • 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
$151MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
150derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$357,510derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

94% high-net-worth individuals, 5.9% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$142M94%
  • Individuals$9.0M5.9%
Individual clients
60reported
HNW clients
90reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
423reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      S••••• J•••••• N•••••Certified Financial PlannerBoulder, CoNov 12, 202518 y2
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N•••••• S•••••• J•••••• · President, Ccocontrol
        since 01/2016 · 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 · 321 to 423
        Mar 28, 2025 to Mar 6, 2026
      • HNW clients · 67 to 90
        Mar 28, 2025 to Mar 6, 2026
      • Individual clients · 61 to 60
        Mar 28, 2025 to Mar 6, 2026
      • Discretionary RAUM · $118M to $151M
        Mar 28, 2025 to Mar 6, 2026
      • HNW RAUM · $108M to $142M
        Mar 28, 2025 to Mar 6, 2026
      Full history · 15 changes
      • Individual RAUM · $9.9M to $9.0M
        Mar 28, 2025 to Mar 6, 2026
      • RAUM · $118M to $151M
        Mar 28, 2025 to Mar 6, 2026
      • Accounts · 322 to 321
        Sep 9, 2024 to Mar 28, 2025
      • HNW clients · 73 to 67
        Sep 9, 2024 to Mar 28, 2025
      • Individual clients · 52 to 61
        Sep 9, 2024 to Mar 28, 2025
      • Financial planning clients · 101-250 to 101-250
        Sep 9, 2024 to Mar 28, 2025
      • Discretionary RAUM · $100M to $118M
        Sep 9, 2024 to Mar 28, 2025
      • HNW RAUM · $93.0M to $108M
        Sep 9, 2024 to Mar 28, 2025
      • Individual RAUM · $7.1M to $9.9M
        Sep 9, 2024 to Mar 28, 2025
      • RAUM · $100M to $118M
        Sep 9, 2024 to Mar 28, 2025
      Signals
      1 dated events
      • ••• Locked
        Aug 29, 2024 · 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 phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 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
      $151Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026