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
C••••• W••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Nov 19, 2024 · 7 filings
SEC status approved since Dec 20, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$149M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$149M as of Mar 23, 2026
Jan 15, 2025$145M then
HNW client RAUM$109M as of Mar 23, 2026
Jan 15, 2025$28.7M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Jan 15, 20250 then
Employees (5.A)2 as of Mar 23, 2026
Jan 15, 20252 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $74.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $490,115derivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $20.1M, 26 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M73%
- Individuals$39.5M27%
- Individual clients
- 60reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 303reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.1M for 26 clientsreported
- Compensation
- % of AUM, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• C••••• | Henderson, Nv | Apr 15, 2021 | 20 y | 3 |
| R••••• A•••• H••••••••Certified Financial Planner | Berthoud, Co | Dec 7, 2022 | 28 y | 3 |
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
- T••••• J••• B••••••••• to P•••••• W••••• M••••••••• L••Jan 3, 2025 · RIA to RIA
Joined, latest
- R••••• A•••• H•••••••• from T••••• F••••••••Dec 7, 2022 · RIA to RIA
- J••••• R••••• C••••• from N•••••••• A•••• M•••••••••Apr 15, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••• R••••• · Managing Member/Ccocontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Henderson, Nv · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 518.0 to 303.0 (-42.0%) between the annual amendments of 2025-03-17 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.7% percentile
- custody status changedChange between filings · filing Mar 23, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-22, yes on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 334 to 303Sep 22, 2025 to Mar 23, 2026
- HNW clients · 44 to 45Sep 22, 2025 to Mar 23, 2026
- Individual clients · 50 to 60Sep 22, 2025 to Mar 23, 2026
- Assets in custody · unset to 20058186.0Sep 22, 2025 to Mar 23, 2026
- Custody of client assets · false to trueSep 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $110M to $149MSep 22, 2025 to Mar 23, 2026
- HNW RAUM · $98.7M to $109MSep 22, 2025 to Mar 23, 2026
- Individual RAUM · $25.1M to $39.5MSep 22, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $13.5M to $0Sep 22, 2025 to Mar 23, 2026
- RAUM · $124M to $149MSep 22, 2025 to Mar 23, 2026
- Accounts · 518 to 334Mar 17, 2025 to Sep 22, 2025
- Individual clients · 51 to 50Mar 17, 2025 to Sep 22, 2025
- Discretionary RAUM · $110M to $110MMar 17, 2025 to Sep 22, 2025
- HNW RAUM · $91.6M to $98.7MMar 17, 2025 to Sep 22, 2025
- Individual RAUM · $29.9M to $25.1MMar 17, 2025 to Sep 22, 2025
- Non-discretionary RAUM · $11.5M to $13.5MMar 17, 2025 to Sep 22, 2025
- RAUM · $122M to $124MMar 17, 2025 to Sep 22, 2025
- Accounts · 470 to 518Feb 5, 2025 to Mar 17, 2025
- HNW clients · 50 to 44Feb 5, 2025 to Mar 17, 2025
- Individual clients · 44 to 51Feb 5, 2025 to Mar 17, 2025
- Financial planning clients · 1-10 to 1-10Feb 5, 2025 to Mar 17, 2025
- Discretionary RAUM · $145M to $110MFeb 5, 2025 to Mar 17, 2025
- HNW RAUM · $28.7M to $91.6MFeb 5, 2025 to Mar 17, 2025
- Individual RAUM · $116M to $29.9MFeb 5, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $0 to $11.5MFeb 5, 2025 to Mar 17, 2025
- RAUM · $145M to $122MFeb 5, 2025 to Mar 17, 2025
Signals
2 dated events
- T••••• J••• B••••••••• left C••••• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2025-04-14)Jan 3, 2025 · Advisor changed firm · fact
- C••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 19, 2024 · 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 phone
- 702-720-3551reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/74077000reportedpublic record, Form ADV, Sep 18, 2026
- Website
- curtiswm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 702-720-3551reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- curtiswm.com/contact-usreportedpublished 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
- $74.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026