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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J•• W••••• M••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Aug 31, 2018 · 17 filings
SEC status approved since Aug 14, 2020
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$224M
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
17 filings and snapshots on the tape
RAUM$224M as of Feb 26, 2026
Jan 12, 2021$128M then
HNW client RAUM$181M as of Feb 26, 2026
Jan 12, 2021$117M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Jan 12, 20211 then
Employees (5.A)1 as of Feb 26, 2026
Jan 12, 20211 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $224MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $565,226derivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $46.8M, 34 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$181M81%
- Individuals$42.9M19%
- Individual clients
- 67reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 396reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.8M for 34 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K•••••• H•••••••Certified Financial Planner, Chartered Financial Analyst | Centennial, Co | Oct 10, 2018 | 21 y | 8 |
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 headcount1 left over 36 months
Left, latest
- P••••• A••••• C•••••••• to O•••• W•••••• I•••Dec 12, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••••• A••••• C•••••••• from C•••• P••••••••• L••May 5, 2021 · Other
- J••• K•••••• H••••••• from S••••••••• P•••••• C•••••• M••••••••• L••Oct 10, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• K•••••• · Managing Member, Ccocontrolsince 08/2018 · owns 75% or more
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 | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 345 to 396Feb 28, 2025 to Feb 26, 2026
- HNW clients · 49 to 57Feb 28, 2025 to Feb 26, 2026
- Individual clients · 64 to 67Feb 28, 2025 to Feb 26, 2026
- Assets in custody · $42.6M to $46.8MFeb 28, 2025 to Feb 26, 2026
- Discretionary RAUM · $192M to $224MFeb 28, 2025 to Feb 26, 2026
- HNW RAUM · $155M to $181MFeb 28, 2025 to Feb 26, 2026
- Individual RAUM · $37.5M to $42.9MFeb 28, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $25,588 to $0Feb 28, 2025 to Feb 26, 2026
- RAUM · $192M to $224MFeb 28, 2025 to Feb 26, 2026
- Accounts · 326 to 345Feb 29, 2024 to Feb 28, 2025
- HNW clients · 45 to 49Feb 29, 2024 to Feb 28, 2025
- Individual clients · 66 to 64Feb 29, 2024 to Feb 28, 2025
- Assets in custody · $41.5M to $42.6MFeb 29, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 28, 2025
- Discretionary RAUM · $173M to $192MFeb 29, 2024 to Feb 28, 2025
- HNW RAUM · $140M to $155MFeb 29, 2024 to Feb 28, 2025
- Individual RAUM · $33.1M to $37.5MFeb 29, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $0 to $25,588Feb 29, 2024 to Feb 28, 2025
- RAUM · $173M to $192MFeb 29, 2024 to Feb 28, 2025
- Accounts · 305 to 326Dec 12, 2023 to Feb 9, 2024
- HNW clients · 59 to 45Dec 12, 2023 to Feb 9, 2024
- Individual clients · 48 to 66Dec 12, 2023 to Feb 9, 2024
- Assets in custody · $32.7M to $41.5MDec 12, 2023 to Feb 9, 2024
- Financial planning clients · 1-10 to 0Dec 12, 2023 to Feb 9, 2024
- Discretionary RAUM · $144M to $173MDec 12, 2023 to Feb 9, 2024
- HNW RAUM · $93.2M to $140MDec 12, 2023 to Feb 9, 2024
- Individual RAUM · $50.7M to $33.1MDec 12, 2023 to Feb 9, 2024
- RAUM · $144M to $173MDec 12, 2023 to Feb 9, 2024
- Advisory employees · 2 to 1Aug 8, 2023 to Dec 12, 2023
- Employees · 2 to 1Aug 8, 2023 to Dec 12, 2023
- Insurance-licensed employees · 2 to 1Aug 8, 2023 to Dec 12, 2023
- HQ city · LONE TREE to CENTENNIALAug 8, 2023 to Dec 12, 2023
- State-registered IARs · 2 to 1Aug 8, 2023 to Dec 12, 2023
- Related adviser · true to falseAug 8, 2023 to Dec 12, 2023
- Accounts · 286 to 305Feb 14, 2022 to Mar 24, 2023
- HNW clients · 48 to 59Feb 14, 2022 to Mar 24, 2023
- Individual clients · 49 to 48Feb 14, 2022 to Mar 24, 2023
- Assets in custody · $26.2M to $32.7MFeb 14, 2022 to Mar 24, 2023
- Discretionary RAUM · $163M to $144MFeb 14, 2022 to Mar 24, 2023
- HNW RAUM · $147M to $93.2MFeb 14, 2022 to Mar 24, 2023
Signals
4 dated events
- P••••• A••••• C•••••••• left J•• W••••• M••••••••• L•• for O•••• W•••••• I••• (registered 2025-08-01)Dec 12, 2023 · Advisor changed firm · fact
- A••••• P••••• C•••••••• (Cco) no longer on Schedule A of J•• W••••• M••••••••• L•• (listed 2023-08-08, absent 2023-12-12)Dec 12, 2023 · Control person left · inference
- A••••• P••••• C•••••••• (Cco) appeared on Schedule A of J•• W••••• M••••••••• L••Jul 19, 2021 · Control person joined · fact
- J•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 2018 · 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
- Principal office phone
- 720-580-0597reportedpublic record, Form ADV, Feb 26, 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
- $224Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026