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
G••••• W••••• S••••••••• A•• A••••••••• L••
Latest filing May 25, 2026
First filing on the tape Sep 24, 2021 · 29 filings
SEC status approved since Oct 25, 2021
RAUM
$457M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$453M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$41.5M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$457M as of May 25, 2026
Feb 4, 2022$160M then
HNW client RAUM$180M as of May 25, 2026
Feb 4, 2022$74.3M then
State-registered IARs (5.B.3)10 as of May 25, 2026
Feb 4, 20220 then
Employees (5.A)10 as of May 25, 2026
Feb 4, 20227 then
Private funds: no history
RAUM +24% over the last fiscal year+30% a year over threeIARs 9 to 10
Practice profile
derived from the filing of May 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $41.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $155,112derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $43.8M, 530 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$273M60%
- High-net-worth individuals$180M40%
- Individual clients
- 805reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,946reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.8M for 530 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• L• W••Certified Financial Planner, Chartered Financial Consultant | Denver, Co | Oct 27, 2021 | 21 y | 3 |
| A••• H••••• | Denver, Co | Nov 8, 2021 | 12 y | 1 |
| D•••• T••••• H•••••• | Denver, Co | Nov 8, 2021 | 11 y | 2 |
| E••• M••••• J••••• | Denver, Co | Feb 4, 2022 | 18 y | 5 |
| T•••• L•• H•••••••Certified Financial Planner, Chartered Financial Consultant | Denver, Co | Jun 7, 2022 | 27 y | 1 |
| M•••••• A•••••••• S••••Certified Financial Planner | Hopkins, Mn | Jul 31, 2023 | 13 y | 0 |
| M••• S••••• B•••••• | Denver, Co | May 7, 2024 | 10 y | 1 |
| K••• H•••••• B•••• | Denver, Co | Jun 6, 2025 | 11 y | 0 |
| T•••• L••• P••••Certified Financial Planner | Denver, Co | Jul 2, 2025 | 14 y | 4 |
| E•••• G•••••••• D••••••••• | Eagan, Mn | May 7, 2026 | 10 y | 0 |
| L••••• D••• C••••••• | Denver, Co | May 21, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount4 left over 36 months
Left, latest
- C••••••••• P•••••• C••••• to S•• W••••• A•••••••• L••Feb 17, 2026 · RIA to RIA
- B•••••• R••••• S•••••• to F••••••May 2, 2025 · RIA to RIA
- R••• D•••••• C••••• to W•••• F•••• A•••••••Jun 10, 2024 · RIA to wirehouse
- N••••••• K•••••• to A•••••• P••••••• P•••••••• I•••Dec 31, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- T•••• L••• P•••• from C••••••• W••••• G•••• L••Jul 2, 2025 · RIA to RIA
- M••• S••••• B•••••• from E•••••••• A•••••••• L••May 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••• D•••••• C••••• from S••••• W••••• A•••••••• I•••Jan 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••• L•• H••••••• from A••••••••• F•••••••• S•••••••• L••Jun 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- E••• M••••• J••••• from M•• I•••••••• S•••••••• L••Feb 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••••• R••••• S•••••• from M•• I•••••••• S•••••••• L••Nov 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• T••••• H•••••• from M•• I•••••••• S•••••••• L••Nov 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• H••••• from M•• I•••••••• S•••••••• L••Nov 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• L• W•• from M•• I•••••••• S•••••••• L••Oct 27, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from M•• I•••••••• S•••••••• L••Oct 29, 2021 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••• A•••• L• · Ceo, Ccocontrolsince 10/2021 · owns less than 5%
- J•••••• E•••• M••••• · Ciocontrolsince 08/2022 · owns 75% or more of C•••• A••••• H•••••••• L••
- W••• A•••• L• · Managing Membercontrolsince 06/2012 · owns 75% or more of W•• H•••••••• L••
- S••••••• B••••••• R••••• · Membersince 01/2022 · owns 5% to 10%
- S••••••••• S•••• M•••• · Member, Coosince 01/2022 · owns 5% to 10%
Entity owners
- W•• H•••••••• L•• · Managing Memberdirect · owns 50% to 75%
- C•••• A••••• H•••••••• L•• · Managing Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- G••••• W••••• S••••••••• I••••••••• L••real estatey
- M••• H••• C•••••••• P••••• A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 11 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Individual clients · 682 to 805Feb 28, 2025 to Jan 21, 2026
- Accounts · 2,623 to 2,946Feb 28, 2025 to Jan 21, 2026
- Advisory employees · 8 to 9Feb 28, 2025 to Jan 21, 2026
- Advisory activities · 4 to 5Feb 28, 2025 to Jan 21, 2026
- HNW clients · 104 to 116Feb 28, 2025 to Jan 21, 2026
- Assets in custody · $115M to $43.8MFeb 28, 2025 to Jan 21, 2026
- State-registered IARs · 9 to 10Feb 28, 2025 to Jan 21, 2026
- Discretionary RAUM · $370M to $457MFeb 28, 2025 to Jan 21, 2026
- HNW RAUM · $151M to $180MFeb 28, 2025 to Jan 21, 2026
- Individual RAUM · $210M to $273MFeb 28, 2025 to Jan 21, 2026
- RAUM · $370M to $457MFeb 28, 2025 to Jan 21, 2026
- Accounts · 2,076 to 2,623Nov 6, 2024 to Feb 28, 2025
- Advisory employees · 7 to 8Nov 6, 2024 to Feb 28, 2025
- HNW clients · 92 to 104Nov 6, 2024 to Feb 28, 2025
- Individual clients · 584 to 682Nov 6, 2024 to Feb 28, 2025
- Assets in custody · $171M to $115MNov 6, 2024 to Feb 28, 2025
- Employees · 9 to 10Nov 6, 2024 to Feb 28, 2025
- Financial planning clients · 51-100 to 51-100Nov 6, 2024 to Feb 28, 2025
- State-registered IARs · 7 to 9Nov 6, 2024 to Feb 28, 2025
- Discretionary RAUM · $291M to $370MNov 6, 2024 to Feb 28, 2025
- HNW RAUM · $128M to $151MNov 6, 2024 to Feb 28, 2025
- Individual RAUM · $155M to $210MNov 6, 2024 to Feb 28, 2025
- RAUM · $291M to $370MNov 6, 2024 to Feb 28, 2025
- Accounts · 1,678 to 2,076Aug 11, 2023 to Jan 26, 2024
- Advisory employees · 8 to 7Aug 11, 2023 to Jan 26, 2024
- Corporate clients · 4.0 to unsetAug 11, 2023 to Jan 26, 2024
- HNW clients · 88 to 92Aug 11, 2023 to Jan 26, 2024
- Individual clients · 425 to 584Aug 11, 2023 to Jan 26, 2024
- Assets in custody · $105M to $171MAug 11, 2023 to Jan 26, 2024
- Employees · 11 to 9Aug 11, 2023 to Jan 26, 2024
- Financial planning clients · 26-50 to 51-100Aug 11, 2023 to Jan 26, 2024
- State-registered IARs · 8 to 7Aug 11, 2023 to Jan 26, 2024
- Discretionary RAUM · $208M to $291MAug 11, 2023 to Jan 26, 2024
- HNW RAUM · $102M to $128MAug 11, 2023 to Jan 26, 2024
- Individual RAUM · $99.3M to $155MAug 11, 2023 to Jan 26, 2024
- RAUM · $208M to $291MAug 11, 2023 to Jan 26, 2024
- Other offices · 0 to 1May 2, 2023 to Jul 25, 2023
- Advisory activities · 3 to 4Jan 30, 2023 to Apr 21, 2023
- Accounts · 1,083 to 1,678Dec 15, 2022 to Jan 27, 2023
- Advisory employees · 7 to 8Dec 15, 2022 to Jan 27, 2023
Signals
6 dated events
- C••••••••• P•••••• C••••• left G••••• W••••• S••••••••• A•• A••••••••• L•• for S•• W••••• A•••••••• L•• (registered 2026-01-28)Feb 17, 2026 · Advisor changed firm · fact
- B•••••• R••••• S•••••• left G••••• W••••• S••••••••• A•• A••••••••• L•• for Farther (registered 2025-04-07)May 2, 2025 · Advisor changed firm · fact
- R••• D•••••• C••••• left G••••• W••••• S••••••••• A•• A••••••••• L•• for W•••• F•••• A••••••• (registered 2025-05-09)Jun 10, 2024 · Advisor changed firm · fact
- N••••••• K•••••• left G••••• W••••• S••••••••• A•• A••••••••• L•• for A•••••• P••••••• P•••••••• I••• (registered 2025-01-27)Dec 31, 2023 · Advisor changed firm · fact
- Martin Eric Jacobs (Member) appeared on Schedule A of G••••• W••••• S••••••••• A•• A••••••••• L••Feb 4, 2022 · Control person joined · fact
- G••••• W••••• S••••••••• A•• A••••••••• L•• filed its initial SEC registration (Form ADV)Sep 24, 2021 · 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
- adam@gwsa.usreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sara@gwsa.usreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 719-648-2545reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-335-5202reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-880-2798reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/global-wealth-strategies-and-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gwsa.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-420-4870reportedpublic record, Form ADV, May 25, 2026
- p••••• contact form
- gwsa.us/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gwsa.us/partnersreportedpublished by the firm, firm site, Sep 15, 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
- $41.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026