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
B•••••••• W••••• P•••••••
Legal name B•••••••• W••••• P•••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Aug 1, 2025 · 4 filings
SEC status approved since Aug 1, 2025
RAUM
$305M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$305M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.2M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$305M as of Aug 3, 2026
Aug 1, 2025$0 then
HNW client RAUM$218M as of Aug 3, 2026
Nov 12, 2025$227M then
State-registered IARs (5.B.3)4 as of Aug 3, 2026
Aug 1, 20253 then
Employees (5.A)7 as of Aug 3, 2026
Aug 1, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 3, 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
- $76.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $321,044derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $6.0M, 11 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$218M72%
- Individuals$86.3M28%
- Individual clients
- 216reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 949reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.0M for 11 clientsreported
- Compensation
- % of AUMreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L•• S••••• | Boulder, Co | Aug 4, 2025 | 27 y | 3 |
| J•••• M••••••• D•••••Certified Financial Planner | Boulder, Co | Aug 4, 2025 | 27 y | 2 |
| D••• M• J•••• | Boulder, Co | Oct 9, 2025 | 20 y | 3 |
| D•••• G••••• F•••••• | Boulder, Co | Oct 9, 2025 | 14 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- D•••• G••••• F•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 9, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- D••• M• J•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 9, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• L•• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• M••••••• D••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 4, 2025 · 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 R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2025 · Boulder, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••• M••••••• · Chief Operating Officercontrolsince 08/2025 · owns less than 5%
- J••••• D•••• M• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- S•••••• J••••• L•• · Chief Executive Officercontrolsince 08/2025 · owns less than 5%
Entity owners
- I••••••••• S••••••••• L•• · Holding Companydirect · owns 50% to 75%
- I••••••••• C•••••• M••••••••• L•• · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Boulder, Co · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,489 to 949Nov 12, 2025 to Mar 26, 2026
- Advisory employees · 2 to 7Nov 12, 2025 to Mar 26, 2026
- HNW clients · 101 to 94Nov 12, 2025 to Mar 26, 2026
- Individual clients · 202 to 216Nov 12, 2025 to Mar 26, 2026
- Assets in custody · $9.6M to $6.0MNov 12, 2025 to Mar 26, 2026
- Employees · 4 to 7Nov 12, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 4Nov 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $309M to $305MNov 12, 2025 to Mar 26, 2026
- HNW RAUM · $227M to $218MNov 12, 2025 to Mar 26, 2026
- Individual RAUM · $82.4M to $86.3MNov 12, 2025 to Mar 26, 2026
- RAUM · $309M to $305MNov 12, 2025 to Mar 26, 2026
- Accounts · 0 to 1,489Aug 1, 2025 to Nov 12, 2025
- Advisory employees · 3 to 2Aug 1, 2025 to Nov 12, 2025
- HNW clients · unset to 101.0Aug 1, 2025 to Nov 12, 2025
- Individual clients · unset to 202.0Aug 1, 2025 to Nov 12, 2025
- Assets in custody · unset to 9618000.0Aug 1, 2025 to Nov 12, 2025
- Custody of client assets · false to trueAug 1, 2025 to Nov 12, 2025
- Discretionary RAUM · $0 to $309MAug 1, 2025 to Nov 12, 2025
- HNW RAUM · unset to 226788822.0Aug 1, 2025 to Nov 12, 2025
- Individual RAUM · unset to 82352594.0Aug 1, 2025 to Nov 12, 2025
- RAUM · $0 to $309MAug 1, 2025 to Nov 12, 2025
Signals
1 dated events
- 4 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Boulder, CO) for B•••••••• W••••• P••••••• on the same dayOct 2, 2025 · Team lift-out · derived
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
- 303-323-4293reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- broadviewwp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-323-4293reportedpublic record, Form ADV, Aug 3, 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
- $76.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026