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SEC-registered adviser
U••• W••••• M••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Oct 26, 2020 · 14 filings
SEC status approved since Jul 13, 2023
RAUM
$146M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$146M
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
14 filings and snapshots on the tape
RAUM$146M as of Feb 9, 2026
Mar 13, 2024$119M then
HNW client RAUM$145M as of Feb 9, 2026
Mar 13, 2024$118M then
State-registered IARs (5.B.3)1 as of Feb 9, 2026
Mar 13, 20241 then
Employees (5.A)1 as of Feb 9, 2026
Mar 13, 20241 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M99%
- Individuals$1.3M0.9%
- Individual clients
- 3reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| K•••••• L• T•••••••• | Las Vegas, Nv | Feb 2, 2021 | 15 y | 1 |
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
- K•••••• L• T•••••••• from M••••• S••••••Feb 2, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• K••••••• L• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- T••••••••• K••••••• L• · Trusteecontrolsince 10/2020 · owns 75% or more of K•••••• T•••• U•••• O•••••• 1•• 2•••
Entity owners
- K•••••• T•••• U•••• O•••••• 1•• 2••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 9, 2026discretionary share of RAUM moved from 70.0% to 52.0% between the annual amendments of 2025-02-07 and 2026-02-09peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Individual clients · unset to 3.0Feb 7, 2025 to Feb 9, 2026
- Discretionary RAUM · $92.6M to $76.7MFeb 7, 2025 to Feb 9, 2026
- HNW RAUM · $131M to $145MFeb 7, 2025 to Feb 9, 2026
- Individual RAUM · $1.2M to $1.3MFeb 7, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $39.8M to $69.8MFeb 7, 2025 to Feb 9, 2026
- RAUM · $132M to $146MFeb 7, 2025 to Feb 9, 2026
- Accounts · 29 to 31Mar 13, 2024 to Feb 7, 2025
- HNW clients · 23 to 24Mar 13, 2024 to Feb 7, 2025
- Individual clients · 2.0 to unsetMar 13, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Feb 7, 2025
- Discretionary RAUM · $97.6M to $92.6MMar 13, 2024 to Feb 7, 2025
- HNW RAUM · $118M to $131MMar 13, 2024 to Feb 7, 2025
- Individual RAUM · $760,692 to $1.2MMar 13, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $21.3M to $39.8MMar 13, 2024 to Feb 7, 2025
- RAUM · $119M to $132MMar 13, 2024 to Feb 7, 2025
- Accounts · 32 to 29Jun 13, 2023 to Mar 13, 2024
- Individual clients · 3 to 2Jun 13, 2023 to Mar 13, 2024
- Discretionary RAUM · $111M to $97.6MJun 13, 2023 to Mar 13, 2024
- HNW RAUM · $110M to $118MJun 13, 2023 to Mar 13, 2024
- Individual RAUM · $879,951 to $760,692Jun 13, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $0 to $21.3MJun 13, 2023 to Mar 13, 2024
- RAUM · $111M to $119MJun 13, 2023 to Mar 13, 2024
- Accounts · 29 to 32May 28, 2021 to Jun 13, 2023
- HNW clients · 12 to 23May 28, 2021 to Jun 13, 2023
- Individual clients · 5 to 3May 28, 2021 to Jun 13, 2023
- Assets in custody · 601730.0 to unsetMay 28, 2021 to Jun 13, 2023
- Custody of client assets · true to falseMay 28, 2021 to Jun 13, 2023
- Discretionary RAUM · $50.2M to $111MMay 28, 2021 to Jun 13, 2023
- HNW RAUM · $48.9M to $110MMay 28, 2021 to Jun 13, 2023
- Individual RAUM · $1.3M to $879,951May 28, 2021 to Jun 13, 2023
- RAUM · $50.2M to $111MMay 28, 2021 to Jun 13, 2023
- Accounts · 0 to 29Feb 16, 2021 to Apr 6, 2021
- HNW clients · unset to 12.0Feb 16, 2021 to Apr 6, 2021
- Individual clients · unset to 5.0Feb 16, 2021 to Apr 6, 2021
- Assets in custody · unset to 601730.0Feb 16, 2021 to Apr 6, 2021
- Custody of client assets · false to trueFeb 16, 2021 to Apr 6, 2021
- Discretionary RAUM · $0 to $50.2MFeb 16, 2021 to Apr 6, 2021
- HNW RAUM · unset to 48929081.0Feb 16, 2021 to Apr 6, 2021
- Individual RAUM · unset to 1263466.0Feb 16, 2021 to Apr 6, 2021
- RAUM · $0 to $50.2MFeb 16, 2021 to Apr 6, 2021
Signals
1 dated events
- U••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 26, 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
- Business email
- info@ultawealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 702-478-4777reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ultawealth.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 702-478-4777reportedpublic record, Form ADV, Feb 9, 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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026