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
R•••• W••••• M••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Nov 10, 2017 · 27 filings
SEC status approved since Dec 15, 2017
RAUM
$630M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$600M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$315M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$630M as of Apr 15, 2026
Feb 23, 2018$0 then
HNW client RAUM$559M as of Apr 15, 2026
Mar 21, 2019$139M then
State-registered IARs (5.B.3)1 as of Apr 15, 2026
Feb 23, 20183 then
Employees (5.A)4 as of Apr 15, 2026
Feb 23, 20183 then
Private funds: no history
RAUM +25% over the last fiscal year+26% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $315MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $649,061derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $488MreportedItem 5.I
- Custody
- $64.6M, 112 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$559M89%
- Individuals$40.9M6.5%
- Corporations and businesses$29.8M4.7%
- Charitable organizations$557,0320.1%
- Individual clients
- 139reported
- HNW clients
- 178reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 971reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $64.6M for 112 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• B••••••• R••••Certified Financial Planner | Highlands Ranch, Co | Dec 15, 2017 | 25 y | 4 |
| M•••••• S•••• M••••• | Highlands Ranch, Co | Jul 23, 2026 | 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 50% of current headcount2 left over 36 months
Left, latest
- D•••• B•••••• M••••• to H••••••• W••••• M••••••••• L••Jan 16, 2026 · RIA to RIA
- G•••• B••••• to P••• A•••• M••••••••• L••Nov 1, 2023 · RIA to RIA
Joined, latest
- E••• B••••••• R•••• from P•• A••••••• S•••••••• L••Dec 15, 2017 · Other
- D•••• B•••••• M••••• from P•• A••••••• S•••••••• L••Dec 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•• A••••••• S•••••••• L••Jan 4, 2018 · Albany, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• B•••••• · Managing Membercontrolsince 12/2017 · owns 50% to 75%
- R••••• E•••• B••••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- R••••• E•••• B••••••• · Trusteecontrolsince 05/2006 · owns F of E••• B• R•••• R•••••••• T••••
Entity owners
- E••• B• R•••• R•••••••• T•••• · Managing 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 |
|---|---|---|---|---|---|
| Highlands Ranch, Co · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 929 to 971Jan 21, 2026 to Feb 12, 2026
- HNW clients · 173 to 178Jan 21, 2026 to Feb 12, 2026
- Individual clients · 140 to 139Jan 21, 2026 to Feb 12, 2026
- Assets in custody · $93.1M to $64.6MJan 21, 2026 to Feb 12, 2026
- Employees · 5 to 4Jan 21, 2026 to Feb 12, 2026
- State-registered IARs · 2 to 1Jan 21, 2026 to Feb 12, 2026
- Discretionary RAUM · $495M to $619MJan 21, 2026 to Feb 12, 2026
- HNW RAUM · $429M to $559MJan 21, 2026 to Feb 12, 2026
- Individual RAUM · $30.2M to $40.9MJan 21, 2026 to Feb 12, 2026
- Non-discretionary RAUM · $8.2M to $11.1MJan 21, 2026 to Feb 12, 2026
- RAUM · $503M to $630MJan 21, 2026 to Feb 12, 2026
- Business name · M••••••••• W••••• M••••••••• L•• to R•••• W••••• M••••••••• L••Oct 8, 2025 to Jan 21, 2026
- Legal name · M••••••••• W••••• M••••••••• L•• to R•••• W••••• M••••••••• L••Oct 8, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 0Mar 19, 2025 to Oct 8, 2025
- Accounts · 868 to 929Apr 3, 2024 to Mar 19, 2025
- BD registered reps · 1 to 0Apr 3, 2024 to Mar 19, 2025
- HNW clients · 165 to 173Apr 3, 2024 to Mar 19, 2025
- Individual clients · 176 to 140Apr 3, 2024 to Mar 19, 2025
- Assets in custody · $71.5M to $93.1MApr 3, 2024 to Mar 19, 2025
- Discretionary RAUM · $410M to $495MApr 3, 2024 to Mar 19, 2025
- HNW RAUM · $334M to $429MApr 3, 2024 to Mar 19, 2025
- Individual RAUM · $32.1M to $30.2MApr 3, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $0 to $8.2MApr 3, 2024 to Mar 19, 2025
- RAUM · $410M to $503MApr 3, 2024 to Mar 19, 2025
- Accounts · 791 to 868Feb 15, 2023 to Feb 22, 2024
- Advisory employees · 3 to 2Feb 15, 2023 to Feb 22, 2024
- BD registered reps · 2 to 1Feb 15, 2023 to Feb 22, 2024
- HNW clients · 142 to 165Feb 15, 2023 to Feb 22, 2024
- Individual clients · 172 to 176Feb 15, 2023 to Feb 22, 2024
- Assets in custody · $57.0M to $71.5MFeb 15, 2023 to Feb 22, 2024
- State-registered IARs · 3 to 2Feb 15, 2023 to Feb 22, 2024
- Discretionary RAUM · $316M to $410MFeb 15, 2023 to Feb 22, 2024
- HNW RAUM · $285M to $334MFeb 15, 2023 to Feb 22, 2024
- Individual RAUM · $30.3M to $32.1MFeb 15, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $117,691 to $0Feb 15, 2023 to Feb 22, 2024
- Pension RAUM · 120274.0 to unsetFeb 15, 2023 to Feb 22, 2024
- RAUM · $316M to $410MFeb 15, 2023 to Feb 22, 2024
- Accounts · 748 to 791Dec 15, 2022 to Feb 15, 2023
- Advisory employees · 4 to 3Dec 15, 2022 to Feb 15, 2023
- HNW clients · 135 to 142Dec 15, 2022 to Feb 15, 2023
Signals
4 dated events
- R•••• W••••• M••••••••• L•• reported RAUM $630.2M, up 25% from $503.3M (2026-01-21 to 2026-02-12)Feb 12, 2026 · RAUM change · derived
- D•••• B•••••• M••••• left R•••• W••••• M••••••••• L•• for H••••••• W••••• M••••••••• L•• (registered 2026-01-06)Jan 16, 2026 · Advisor changed firm · fact
- G•••• B••••• left R•••• W••••• M••••••••• L•• for P••• A•••• M••••••••• L•• (registered 2024-01-12)Nov 1, 2023 · Advisor changed firm · fact
- B• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 10, 2017 · 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
- Firm profile
- linkedin.com/company/morganroselwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303.647.3801reportedpublic record, Form ADV, Apr 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
- $315Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026