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
S••••• H••• W••••• M••••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Apr 9, 2025 · 2 filings
SEC status approved since Apr 7, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$139M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$146M as of Feb 4, 2026
Apr 9, 2025$118M then
HNW client RAUM$119M as of Feb 4, 2026
Apr 9, 2025$94.4M then
State-registered IARs (5.B.3)3 as of Feb 4, 2026
Apr 9, 20252 then
Employees (5.A)4 as of Feb 4, 2026
Apr 9, 20253 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $48.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $714,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $3.5M, 3 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
- High-net-worth individuals$119M82%
- Individuals$20.2M14%
- State and municipal entities$5.2M3.6%
- Charitable organizations$1.5M1.0%
- Individual clients
- 25reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 204reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| E••• S• W••••••Certified Financial Planner, Chartered Financial Analyst | Greenwood Village, Co | May 25, 2018 | 16 y | 1 |
| M••••••• P•••••• W•••••• | Greenwood Village, Co | Apr 22, 2019 | 13 y | 0 |
| J•••• A•••••••• B•••••• | Greenwood Village, Co | Jan 29, 2026 | 10 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
none on the tape
Joined, latest
- E••• S• W•••••• from W••••••• R•••••••• M••••••••• I••May 25, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• E•••• S• · Managing Partner/Chief Compliance Officercontrolsince 04/2018 · owns 50% to 75%
- W••••••• M•••••••• P•••••• · Operating Parntercontrolsince 08/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 199 to 204Apr 9, 2025 to Feb 4, 2026
- Advisory employees · 2 to 3Apr 9, 2025 to Feb 4, 2026
- HNW clients · 31 to 34Apr 9, 2025 to Feb 4, 2026
- Individual clients · 24 to 25Apr 9, 2025 to Feb 4, 2026
- Assets in custody · $12.4M to $3.5MApr 9, 2025 to Feb 4, 2026
- Employees · 3 to 4Apr 9, 2025 to Feb 4, 2026
- Financial planning clients · to 1-10Apr 9, 2025 to Feb 4, 2026
- State-registered IARs · 2 to 3Apr 9, 2025 to Feb 4, 2026
- Discretionary RAUM · $118M to $146MApr 9, 2025 to Feb 4, 2026
- HNW RAUM · $94.4M to $119MApr 9, 2025 to Feb 4, 2026
- Individual RAUM · $17.0M to $20.2MApr 9, 2025 to Feb 4, 2026
- RAUM · $118M to $146MApr 9, 2025 to Feb 4, 2026
Signals
No event on the tape.
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@summithillwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 720-773-9297reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/summit-hill-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- summithillwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-773-9297reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- summithillwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- summithillwealth.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $48.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026