DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P••••••• W••••• A•••••••

Independent wealth managerGreenwood Village, ColoradoCRD 324199SEC 801-127465website IAPD

Latest filing Mar 31, 2026

First filing on the tape Feb 13, 2023 · 8 filings

SEC status approved since Mar 24, 2023

RAUM

$134M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$134M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$66.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$134M as of Mar 31, 2026

Feb 14, 2024$93.6M then

HNW client RAUM$78.2M as of Mar 31, 2026

Feb 14, 2024$49.1M then

State-registered IARs (5.B.3)2 as of Mar 31, 2026

Feb 14, 20242 then

Employees (5.A)3 as of Mar 31, 2026

Feb 14, 20243 then

Private funds: no history

RAUM +16% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 31, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $66.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 100derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $247,148derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -26%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $36.0M, 132 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)
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$78.2M59%
Individuals$55.5M41%

Individual clients: 161reported
HNW clients: 39reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 541reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $36.0M for 132 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
K•••••• L•••• M••••••••	Greenwood Village, Co	Feb 14, 2024	23 y	2
B•••• S•••• J•••••	Greenwood Village, Co	Feb 14, 2024	38 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 headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

K•••••• L•••• M•••••••• from I••••••• I••••••••• A•••••••• L••
Feb 14, 2024 · RIA to RIA
B•••• S•••• J••••• from I••••••• I••••••••• A•••••••• L••
Feb 14, 2024 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from I••••••• I••••••••• A•••••••• L••
Dec 31, 2023 · Denver, Co

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J•••••• B••••• S•••• · Membercontrol
since 12/2022 · owns 50% to 75%
M••••••••• K••••••• L•••• · Member And Chief Compliance Officercontrol
since 12/2022 · owns 50% to 75%

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
Greenwood Village, Co · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Mar 31, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $115,085,812 to $133,707,136, advisors 2 to 2, private clients 270 to 200, offices 0 to 0 (2025-03-28 to 2026-03-31)
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 533 to 541
Mar 28, 2025 to Mar 31, 2026
Advisory employees · 3 to 2
Mar 28, 2025 to Mar 31, 2026
Charity clients · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
Corporate clients · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
HNW clients · 51 to 39
Mar 28, 2025 to Mar 31, 2026
Individual clients · 219 to 161
Mar 28, 2025 to Mar 31, 2026
Pension plan clients · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle clients · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
Assets in custody · $31.7M to $36.0M
Mar 28, 2025 to Mar 31, 2026
Discretionary RAUM · $115M to $134M
Mar 28, 2025 to Mar 31, 2026
HNW RAUM · $61.4M to $78.2M
Mar 28, 2025 to Mar 31, 2026
Individual RAUM · $53.7M to $55.5M
Mar 28, 2025 to Mar 31, 2026
Pension RAUM · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle RAUM · unset to 0.0
Mar 28, 2025 to Mar 31, 2026
RAUM · $115M to $134M
Mar 28, 2025 to Mar 31, 2026
Accounts · 509 to 533
May 13, 2024 to Mar 28, 2025
Advisory employees · 2 to 3
May 13, 2024 to Mar 28, 2025
HNW clients · 35 to 51
May 13, 2024 to Mar 28, 2025
Individual clients · 158 to 219
May 13, 2024 to Mar 28, 2025
Assets in custody · unset to 31723641.0
May 13, 2024 to Mar 28, 2025
Custody of client assets · false to true
May 13, 2024 to Mar 28, 2025
Financial planning clients · 0 to 0
May 13, 2024 to Mar 28, 2025
Discretionary RAUM · $101M to $115M
May 13, 2024 to Mar 28, 2025
HNW RAUM · $53.0M to $61.4M
May 13, 2024 to Mar 28, 2025
Individual RAUM · $47.9M to $53.7M
May 13, 2024 to Mar 28, 2025
RAUM · $101M to $115M
May 13, 2024 to Mar 28, 2025
Accounts · 191 to 509
Feb 14, 2024 to Apr 17, 2024
HNW clients · 34 to 35
Feb 14, 2024 to Apr 17, 2024
Individual clients · 157 to 158
Feb 14, 2024 to Apr 17, 2024
Discretionary RAUM · $90.5M to $101M
Feb 14, 2024 to Apr 17, 2024
HNW RAUM · $49.1M to $53.0M
Feb 14, 2024 to Apr 17, 2024
Individual RAUM · $44.5M to $47.9M
Feb 14, 2024 to Apr 17, 2024
Non-discretionary RAUM · $3.0M to $0
Feb 14, 2024 to Apr 17, 2024
RAUM · $93.6M to $101M
Feb 14, 2024 to Apr 17, 2024
Accounts · unset to 191.0
Mar 24, 2023 to Feb 14, 2024
HNW clients · unset to 34.0
Mar 24, 2023 to Feb 14, 2024
Individual clients · unset to 157.0
Mar 24, 2023 to Feb 14, 2024
Discretionary RAUM · unset to 90526339.0
Mar 24, 2023 to Feb 14, 2024
HNW RAUM · unset to 49058284.0
Mar 24, 2023 to Feb 14, 2024
Individual RAUM · unset to 44502604.0
Mar 24, 2023 to Feb 14, 2024

Signals

2 dated events

2 advisors left I••••••• I••••••••• A•••••••• L•• (Denver, CO) for P••••••• W••••• A••••••• on the same day
Dec 31, 2023 · Team lift-out · derived
P•••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)
Feb 13, 2023 · 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: s••••••@p••.llcreportedpublished by the firm, firm site, Sep 16, 2026
Business email: k••@p••.llcreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 720-356-0779reportedpublished by the firm, firm site, Sep 16, 2026
Website: p••.llcreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 720-356-0779reportedpublic record, Form ADV, Mar 31, 2026
Team page: p••.llcreportedpublished 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: $66.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026