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
C••••••• W••••• M••••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Apr 14, 2020 · 19 filings
SEC status approved since May 18, 2020
RAUM
$171M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
71%
$121M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$171M as of Aug 11, 2026
Mar 15, 2021$219M then
HNW client RAUM$95.0M as of Aug 11, 2026
Mar 15, 2021$111M then
State-registered IARs (5.B.3)4 as of Aug 11, 2026
Mar 15, 20218 then
Employees (5.A)5 as of Aug 11, 2026
Mar 15, 20218 then
Private funds: no history
RAUM -25% over the last fiscal year-5.9% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Aug 11, 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
- RAUM per advisor
- $42.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $450,439derivedHNW RAUM over HNW clients
- Average account
- $859,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $20.1M, 12 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$95.0M56%
- Pension and profit-sharing plans$28.7M17%
- Individuals$26.2M15%
- Corporations and businesses$19.2M11%
- Charitable organizations$1.4M0.8%
- Investment companies$381,6520.2%
- Individual clients
- 153reported
- HNW clients
- 211reported
- Pension plan clients
- 16reported
- Charitable clients
- 1reported
- Accounts
- 199reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.1M for 12 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• S•••••••Certified Financial Planner | Broomfield, Co | Jun 15, 2020 | 19 y | 2 |
| E••• V••• | Broomfield, Co | Jun 15, 2020 | 16 y | 3 |
| R••••• J••• B•••••• | Broomfield, Co | Jun 15, 2020 | 19 y | 3 |
| N••••• L••• L••••• | Broomfield, Co | Jul 11, 2022 | 15 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount4 left over 36 months
Left, latest
- N••• C••••••••• C••••••• to P••••••••Nov 5, 2025 · RIA to RIA
- M••• P•••••• C••••• to C••••••••• I••••••••• A•••••••• L••Oct 22, 2025 · RIA to RIA
- G•••••• K•••••• V••• to C••••••••• I••••••••• A•••••••• L••Oct 22, 2025 · RIA to RIA
- J••••• W•••••• P••• to F••••••••• I••••••••• A••••••• L••Jul 9, 2024 · RIA to RIA
Joined, latest
- G•••••• K•••••• V••• from C•••••• S••••• • C••• I•••Apr 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- E••• V••• from E••••••• I••••••••• C•••••••••Jun 15, 2020 · Other
- M••• P•••••• C••••• from C••••• A•• C••••••• I•••Jun 15, 2020 · Other
- R••••• J••• B•••••• from M•• F•••••••• G••••• I•••Jun 15, 2020 · Other
- B•••• J••••• S••••••• from E••••••• I••••••••• C•••••••••Jun 15, 2020 · Other
- J••••• W•••••• P••• from C••••• I••••••••• C••••••• L••Jun 15, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• I••••••••• A•••••••• L••Oct 22, 2025 · Broomfield, Co
- 2 joined from E••••••• I••••••••• C•••••••••Dec 14, 2020 · Broomfield, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••• P•••••• · Managing Member, Ccocontrolsince 04/2020 · owns 50% to 75%
- C•••••• T••••• D•••• · Managing Membercontrolsince 04/2020 · owns 10% to 25%
- S•••••••• B••••• J••••• · Managing Membercontrolsince 02/2020 · owns 10% to 25%
- V•••• E••• · Managing Membercontrolsince 04/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••• I••••••••• C••••••• L••investment advisernRAUM $107M
- C••••• R••••••••• S•••••••• I••LP sponsory
- E••••••• I••••••••• C•••••••••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Broomfield, Co · principal | 4 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Aug 11, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-31, yes on the filing of 2026-08-11peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 583.0 to 199.0 (-66.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.4% percentile
- advisor count dropChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Assets in custody · $0 to $20.1MMar 31, 2026 to Aug 11, 2026
- Custody of client assets · false to trueMar 31, 2026 to Aug 11, 2026
- Accounts · 583 to 199Jan 8, 2026 to Mar 31, 2026
- Advisory employees · 6 to 3Jan 8, 2026 to Mar 31, 2026
- Charity clients · unset to 1.0Jan 8, 2026 to Mar 31, 2026
- Corporate clients · 17 to 13Jan 8, 2026 to Mar 31, 2026
- HNW clients · 93 to 211Jan 8, 2026 to Mar 31, 2026
- Individual clients · 202 to 153Jan 8, 2026 to Mar 31, 2026
- Pension plan clients · 12 to 16Jan 8, 2026 to Mar 31, 2026
- Assets in custody · unset to 0.0Jan 8, 2026 to Mar 31, 2026
- Employees · 8 to 5Jan 8, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 11-25Jan 8, 2026 to Mar 31, 2026
- State-registered IARs · 6 to 4Jan 8, 2026 to Mar 31, 2026
- Discretionary RAUM · $185M to $136MJan 8, 2026 to Mar 31, 2026
- HNW RAUM · $123M to $95.0MJan 8, 2026 to Mar 31, 2026
- Individual RAUM · $70.3M to $26.2MJan 8, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $42.6M to $34.8MJan 8, 2026 to Mar 31, 2026
- Pension RAUM · $13.6M to $28.7MJan 8, 2026 to Mar 31, 2026
- RAUM · $228M to $171MJan 8, 2026 to Mar 31, 2026
- Business name · E••••••• C••••• W••••• A••••••• L•• to C••••••• W••••• M••••••••• L••Mar 28, 2025 to Nov 7, 2025
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 7, 2025
- Legal name · E••••••• C••••• W••••• A••••••• L•• to C••••••• W••••• M••••••••• L••Mar 28, 2025 to Nov 7, 2025
- Accounts · 565 to 583May 7, 2024 to Mar 28, 2025
- Advisory employees · 8 to 6May 7, 2024 to Mar 28, 2025
- Charity clients · 2.0 to unsetMay 7, 2024 to Mar 28, 2025
- HNW clients · 102 to 93May 7, 2024 to Mar 28, 2025
- Individual clients · 122 to 202May 7, 2024 to Mar 28, 2025
- Pension plan clients · 28 to 12May 7, 2024 to Mar 28, 2025
- Employees · 13 to 8May 7, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 0May 7, 2024 to Mar 28, 2025
- State-registered IARs · 8 to 6May 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $173M to $185MMay 7, 2024 to Mar 28, 2025
- HNW RAUM · $115M to $123MMay 7, 2024 to Mar 28, 2025
- Individual RAUM · $29.6M to $70.3MMay 7, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $44.4M to $42.6MMay 7, 2024 to Mar 28, 2025
- Pension RAUM · $46.5M to $13.6MMay 7, 2024 to Mar 28, 2025
- RAUM · $217M to $228MMay 7, 2024 to Mar 28, 2025
- Accounts · 562 to 565Jun 28, 2023 to Mar 13, 2024
- Charity clients · unset to 2.0Jun 28, 2023 to Mar 13, 2024
- Corporate clients · unset to 17.0Jun 28, 2023 to Mar 13, 2024
Signals
7 dated events
- R••••• J••• B•••••• added a MN registration at C••••••• W••••• M••••••••• L••Sep 17, 2026 · New state registration · fact
- N••• C••••••••• C••••••• left C••••••• W••••• M••••••••• L•• for P•••••••• (registered 2025-07-23)Nov 5, 2025 · Advisor changed firm · fact
- M••• P•••••• C••••• left C••••••• W••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-10-21)Oct 22, 2025 · Advisor changed firm · fact
- 2 advisors left C••••••• W••••• M••••••••• L•• (Broomfield, CO) for C••••••••• I••••••••• A•••••••• L•• on the same dayOct 22, 2025 · Team lift-out · derived
- G•••••• K•••••• V••• left C••••••• W••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-10-20)Oct 22, 2025 · Advisor changed firm · fact
- J••••• W•••••• P••• left C••••••• W••••• M••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2024-07-11)Jul 9, 2024 · Advisor changed firm · fact
- E••••••• C••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• C••••• W••••• A••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 303-442-1749reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-442-3670reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- cohesionwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-442-3670reportedpublic record, Form ADV, Aug 11, 2026
- Contact form
- cohesionwm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- cohesionwm.com/who-we-arereportedpublished 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
- $42.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026