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
C••••••••• W••••• M••••••••• • P•••••••
Latest filing Mar 29, 2026
First filing on the tape Jun 13, 2025 · 4 filings
SEC status approved since Jun 13, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$124M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.3M
derived; firm RAUM over IAPD count
Employees
3
2 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$127M as of Mar 29, 2026
Jun 13, 2025$0 then
HNW client RAUM$96.1M as of Mar 29, 2026
Sep 15, 2025$74.7M then
State-registered IARs (5.B.3)2 as of Mar 29, 2026
Jun 13, 20252 then
Employees (5.A)3 as of Mar 29, 2026
Jun 13, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 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
- $63.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 215derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $787,581derivedHNW RAUM over HNW clients
- Average account
- $172,182derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%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
- 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $89.6MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.1M76%
- Individuals$27.9M22%
- Corporations and businesses$938,9210.7%
- Charitable organizations$903,9590.7%
- Pension and profit-sharing plans$755,3340.6%
- Individual clients
- 308reported
- HNW clients
- 122reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 735reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• M••••••Certified Financial Planner | Cody, Wy | Jun 30, 2025 | 17 y | 3 |
| S••• M•••• S•••••••••Certified Financial Planner | Cody, Wy | Jun 30, 2025 | 12 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
- S••• M•••• S••••••••• from F•••••••• A•••••••• I••••••••• M•••••••••Jun 30, 2025 · RIA to a newly registered adviser
- L•••• M•••••• from F•••••••• A•••••••• I••••••••• M•••••••••Jun 30, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• L•••• · Partner/Investment Adviser Representativecontrolsince 04/2025 · owns less than 5%
- S••••••••• S•••• M•••• · Partner/Investment Adviser Representativecontrolsince 04/2025 · owns less than 5%
- S••••• E•••••• A•• · Chief Compliance Officercontrolsince 08/2025 · owns less than 5%
Entity owners
- S•• G••••• L•• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Cody, Wy · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 699 to 735Sep 15, 2025 to Mar 29, 2026
- BD registered reps · 0 to 2Sep 15, 2025 to Mar 29, 2026
- Charity clients · unset to 5.0Sep 15, 2025 to Mar 29, 2026
- Corporate clients · 5.0 to unsetSep 15, 2025 to Mar 29, 2026
- HNW clients · 43 to 122Sep 15, 2025 to Mar 29, 2026
- Individual clients · 396 to 308Sep 15, 2025 to Mar 29, 2026
- Pension plan clients · unset to 5.0Sep 15, 2025 to Mar 29, 2026
- Financial planning clients · 0 to 1-10Sep 15, 2025 to Mar 29, 2026
- Discretionary RAUM · $118M to $127MSep 15, 2025 to Mar 29, 2026
- HNW RAUM · $74.7M to $96.1MSep 15, 2025 to Mar 29, 2026
- Individual RAUM · $41.3M to $27.9MSep 15, 2025 to Mar 29, 2026
- Pension RAUM · unset to 755334.0Sep 15, 2025 to Mar 29, 2026
- RAUM · $118M to $127MSep 15, 2025 to Mar 29, 2026
- Accounts · 0 to 699Aug 19, 2025 to Sep 15, 2025
- Advisory activities · 3 to 5Aug 19, 2025 to Sep 15, 2025
- Corporate clients · unset to 5.0Aug 19, 2025 to Sep 15, 2025
- HNW clients · unset to 43.0Aug 19, 2025 to Sep 15, 2025
- Individual clients · unset to 396.0Aug 19, 2025 to Sep 15, 2025
- Financial planning clients · 0 to 0Aug 19, 2025 to Sep 15, 2025
- Discretionary RAUM · $0 to $118MAug 19, 2025 to Sep 15, 2025
- HNW RAUM · unset to 74670724.0Aug 19, 2025 to Sep 15, 2025
- Individual RAUM · unset to 41324257.0Aug 19, 2025 to Sep 15, 2025
- RAUM · $0 to $118MAug 19, 2025 to Sep 15, 2025
- Wrap assets (manager) · unset to 0.0Aug 19, 2025 to Sep 15, 2025
- Wrap assets (sponsor) · unset to 0.0Aug 19, 2025 to Sep 15, 2025
- Business name · C••••••••• W••••• M••••••••• • P•••••••• L•• to C••••••••• W••••• M••••••••• • P•••••••Jun 13, 2025 to Aug 19, 2025
- Employees · 2 to 3Jun 13, 2025 to Aug 19, 2025
Signals
No event on the tape.
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
- luke@copperlinewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 307-586-1880reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- copperlinewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 307-586-1880reportedpublic record, Form ADV, Mar 29, 2026
- Team page
- copperlinewealth.com/our-teamreportedpublished 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
- $63.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026