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
P••••••• W•••••• L••
Latest filing Jul 27, 2026
First filing on the tape Apr 4, 2025 · 8 filings
SEC status approved since Apr 10, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$127M as of Jul 27, 2026
Apr 4, 2025$0 then
HNW client RAUM$100M as of Jul 27, 2026
Aug 10, 2025$82.5M then
State-registered IARs (5.B.3)0 as of Jul 27, 2026
Apr 4, 20250 then
Employees (5.A)3 as of Jul 27, 2026
Apr 4, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jul 27, 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
- $42.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%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
- 1.5derived2 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 assets, hourly, fixed fees, subscription, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M79%
- Individuals$26.7M21%
- Pooled investment vehicles$300,0000.2%
- Individual clients
- 14reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• S••••• B•••••••Certified Financial Planner | Denver, Co | Apr 12, 2025 | 17 y | 3 |
| J•••• G• L•••••• | Denver, Co | May 27, 2025 | 16 y | 3 |
| N••••••• W•••• R•••••Certified Financial Planner | Havertown, Pa | Jul 9, 2025 | 14 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
- N••••••• W•••• R••••• from O••••• I••••••••• A••••••• L••Jul 9, 2025 · RIA to a newly registered adviser
- J•••• G• L•••••• from F••••••• P••••••• A•• W•••••••• A•••••••May 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• S••••• B••••••• from C•••• W••••• M••••••••• L••Apr 12, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••• S••••• · Managing Partner / Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- L••••••• J••••• G• · Chief Information Officercontrolsince 01/2025 · owns less than 5%
- R•••••• N•••••••• W•••• · Managing Partnercontrolsince 07/2025 · owns less than 5%
Entity owners
- F•••••••• F•••• C••••••••• L•• · Ownerdirect · owns 25% to 50%
- L•••••• C•••••• M••••••••• L•• · Ownerdirect · owns 25% to 50%
- R••••• H••••••• L•• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Succession · true to falseApr 3, 2026 to Jul 27, 2026
- Succession · false to trueMar 10, 2026 to Apr 3, 2026
- Discretionary RAUM · $82.5M to $50.9MJan 19, 2026 to Feb 9, 2026
- HNW RAUM · $82.5M to $100MJan 19, 2026 to Feb 9, 2026
- Individual RAUM · $43.2M to $26.7MJan 19, 2026 to Feb 9, 2026
- Non-discretionary RAUM · $43.5M to $76.2MJan 19, 2026 to Feb 9, 2026
- RAUM · $126M to $127MJan 19, 2026 to Feb 9, 2026
- Employees · 4 to 3Nov 4, 2025 to Jan 19, 2026
- Financial planning clients · 0 to 26-50Nov 4, 2025 to Jan 19, 2026
- Other offices · 0 to 1Nov 4, 2025 to Jan 19, 2026
- Advisory activities · 2 to 4Aug 10, 2025 to Nov 4, 2025
- Business name · E•••••• D•••••• W•••••• L•• to P••••••• W•••••• L••Aug 10, 2025 to Nov 4, 2025
- Pooled vehicle clients · unset to 1.0Aug 10, 2025 to Nov 4, 2025
- Employees · 5 to 4Aug 10, 2025 to Nov 4, 2025
- Financial planning clients · 0 to 0Aug 10, 2025 to Nov 4, 2025
- Legal name · E•••••• D•••••• W•••••• L•• to P••••••• W•••••• L••Aug 10, 2025 to Nov 4, 2025
- Non-discretionary RAUM · $43.2M to $43.5MAug 10, 2025 to Nov 4, 2025
- Pooled vehicle RAUM · unset to 300000.0Aug 10, 2025 to Nov 4, 2025
- RAUM · $126M to $126MAug 10, 2025 to Nov 4, 2025
- Accounts · 0 to 44Apr 4, 2025 to Aug 10, 2025
- Advisory employees · 2 to 3Apr 4, 2025 to Aug 10, 2025
- HNW clients · unset to 30.0Apr 4, 2025 to Aug 10, 2025
- Individual clients · unset to 14.0Apr 4, 2025 to Aug 10, 2025
- Employees · 4 to 5Apr 4, 2025 to Aug 10, 2025
- Discretionary RAUM · $0 to $82.5MApr 4, 2025 to Aug 10, 2025
- HNW RAUM · unset to 82500000.0Apr 4, 2025 to Aug 10, 2025
- Individual RAUM · unset to 43200000.0Apr 4, 2025 to Aug 10, 2025
- Non-discretionary RAUM · $0 to $43.2MApr 4, 2025 to Aug 10, 2025
- RAUM · $0 to $126MApr 4, 2025 to Aug 10, 2025
Signals
1 dated events
- P••••••• W•••••• L•• reported succeeding to the business of P••••••• W•••••• L•• (Form ADV Item 4)Apr 3, 2026 · Succession (Item 4) · 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
- Firm profile
- linkedin.com/company/protocolwealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- protocolcheck.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 720-439-9055reportedpublic record, Form ADV, Jul 27, 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
- $42.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026