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
U• W••••• P••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Apr 30, 2020 · 31 filings
SEC status approved since May 29, 2020
RAUM
$1.9B
reported, Item 5.F
Discretionary
0.2%
of RAUM
Private clients
0.2%
$4.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$622M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.9B as of Jun 18, 2026
Feb 5, 2021$796M then
HNW client RAUM$3.6M as of Jun 18, 2026
Apr 3, 2023$4.3M then
State-registered IARs (5.B.3)2 as of Jun 18, 2026
Feb 5, 20212 then
Employees (5.A)7 as of Jun 18, 2026
Feb 5, 20215 then
Private funds: no history
RAUM n/a over the last fiscal year+26% a year over three
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
- RAUM per advisor
- $622MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $205,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.2%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.9B100%
- High-net-worth individuals$3.6M0.2%
- Individuals$1.0M0.1%
- Individual clients
- 12reported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9,087reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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 |
|---|---|---|---|---|
| K••• W•••••• W•••• | Centennial, Co | Oct 14, 2020 | 14 y | 2 |
| L••••••• N••• L••••• | Carlsbad, Ca | Jul 9, 2021 | 40 y | 5 |
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
- L••••••• N••• L••••• from A•••••••• C•••••• M•••••••••Jul 9, 2021 · Other
- K••• W•••••• W•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 14, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• C••••• · Chief Technology Officercontrolsince 06/2022 · owns less than 5%
- W••••• K•••• W•••••• · Chief Executive Officercontrolsince 02/2020 · owns 25% to 50%
- R••••••• K••••• L•• · Managing Membercontrolsince 09/2013 · owns 75% or more of S••• C••••••• L••
- W••••• K•••• W•••••• · Managing Membercontrolsince 01/2018 · owns 75% or more of 5••• C••••••• L••
- S••••• J••••••• A••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- 5••• C••••••• L•• · Memberdirect · owns 50% to 75%
- S••• C••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T••• F•••••••• T•••••••••investment advisernRAUM $217M
Advisers that list U• W••••• P••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centennial, Co · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 2.0th percentile, 33.6 robust deviations)peers: asset managers, $1B to $5B (1,506) · 1.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 23, 2026 to Jun 18, 2026
- Employees · 8 to 7Mar 23, 2026 to Jun 18, 2026
- State-registered IARs · 3 to 2Mar 23, 2026 to Jun 18, 2026
- Accounts · 14,091 to 9,087Jan 19, 2026 to Mar 23, 2026
- Advisory employees · 4 to 3Jan 19, 2026 to Mar 23, 2026
- Individual clients · 28 to 12Jan 19, 2026 to Mar 23, 2026
- Employees · 7 to 8Jan 19, 2026 to Mar 23, 2026
- State-registered IARs · 0 to 3Jan 19, 2026 to Mar 23, 2026
- Discretionary RAUM · $4.8M to $4.6MJan 19, 2026 to Mar 23, 2026
- HNW RAUM · $3.3M to $3.6MJan 19, 2026 to Mar 23, 2026
- Individual RAUM · $1.4M to $1.0MJan 19, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $2.1B to $1.9BJan 19, 2026 to Mar 23, 2026
- RAUM · $2.1B to $1.9BJan 19, 2026 to Mar 23, 2026
- Other offices · 5 to 4Nov 27, 2025 to Jan 19, 2026
- Financial planning clients · 0 to 0May 1, 2025 to Nov 27, 2025
- Other offices · 3 to 5May 1, 2025 to Nov 27, 2025
- Accounts · 47 to 14,091May 21, 2024 to May 1, 2025
- Advisory activities · 2 to 3May 21, 2024 to May 1, 2025
- HNW clients · 2 to 1May 21, 2024 to May 1, 2025
- Individual clients · 13 to 28May 21, 2024 to May 1, 2025
- Other offices · 4 to 3May 21, 2024 to May 1, 2025
- Discretionary RAUM · $5.9M to $4.8MMay 21, 2024 to May 1, 2025
- HNW RAUM · $4.2M to $3.3MMay 21, 2024 to May 1, 2025
- Individual RAUM · $1.6M to $1.4MMay 21, 2024 to May 1, 2025
- Non-discretionary RAUM · $1.5B to $2.1BMay 21, 2024 to May 1, 2025
- RAUM · $1.5B to $2.1BMay 21, 2024 to May 1, 2025
- State-registered IARs · 4 to 0Mar 28, 2024 to Mar 29, 2024
- Accounts · 7,486 to 47Dec 20, 2023 to Mar 28, 2024
- Individual clients · 10 to 13Dec 20, 2023 to Mar 28, 2024
- Other offices · 1 to 4Dec 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $941M to $5.9MDec 20, 2023 to Mar 28, 2024
- HNW RAUM · $4.3M to $4.2MDec 20, 2023 to Mar 28, 2024
- Individual RAUM · $990,174 to $1.6MDec 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $1.5BDec 20, 2023 to Mar 28, 2024
- RAUM · $941M to $1.5BDec 20, 2023 to Mar 28, 2024
- Accounts · 3,238 to 7,486Feb 17, 2022 to Apr 3, 2023
- HNW clients · unset to 2.0Feb 17, 2022 to Apr 3, 2023
- Discretionary RAUM · $907M to $941MFeb 17, 2022 to Apr 3, 2023
- HNW RAUM · unset to 4275345.0Feb 17, 2022 to Apr 3, 2023
- Individual RAUM · $2.4M to $990,174Feb 17, 2022 to Apr 3, 2023
Signals
5 dated events
- U• W••••• P••••••• L•• reported RAUM $2.1B, up 37% from $1.5B (2024-05-21 to 2025-05-01)May 1, 2025 · RAUM change · derived
- U• W••••• P••••••• L•• reported RAUM $1.5B, up 60% from $941.1M (2023-12-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Carlos Simoes (Chief Technology Officer) appeared on Schedule A of U• W••••• P••••••• L••Mar 28, 2024 · Control person joined · fact
- U• W••••• P••••••• L•• reported RAUM $796.2M, up 50% from $531.1M (2020-11-11 to 2021-02-05)Feb 5, 2021 · RAUM change · derived
- U• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2020 · 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/ux-wealth-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- u•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-797-8357reportedpublic record, Form ADV, Jun 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $622Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026