Wealth manager, independent · Golden, CO
Western Wealth Management LLC
SEC-registered investment adviser · CRD 283545 · SEC 801-107762
At a glance
Western Wealth Management LLC is an SEC-registered investment adviser based in Golden, Colorado, with $5.4B in regulatory assets under management as of its Form ADV filed June 9, 2026. It reports 11,019 individual clients, 3,272 of them high-net-worth, holding an average of about $0.5 million each, and 98 employees. That ranks it 198th among the nation’s 5,657 independent wealth management RIAs and 4th of 177 in Colorado. It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Charles Schwab.
Main office 303-393-2404westernwealthmgmt.netLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.4B
- Rank among independent wealth managers
- #198 of 5,657
- Rank among all SEC RIAs
- #2,004 of 17,210
- Rank in Colorado
- #4 of 177
- Individual clients
- 11,019
- High-net-worth clients
- 3,272
- Accounts
- 19,273
- Discretionary
- 96% of AUM
- Employees
- 98
- Advisory staff
- 95
- Offices
- 41
Owners and executives on its Form ADV
- Julie GaffneyDirector of Accounting & Registrations
- Kara L. JettChief Compliance Officer
- Lisa M. EsslingerDirector of Branch Development/partner
- Caden L. RussellAdministrative Specialist & Partner
- Benjamen R. RothwellDirector of RIA Compliance
Custody and brokerage
Broker-dealer
Hybrid RIA
Western Wealth Management LLC is a hybrid RIA: 79 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.
To sell securities for a commission, some of our IARs are registered representatives of LPL, member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 3,272 | $3.5B | 66% |
| Individuals | 7,747 | $1.5B | 28% |
| Pension and profit sharing plans | 109 | $153M | 3% |
| Charitable organizations | 51 | $87M | 2% |
| Corporations or other businesses | 74 | $79M | 1% |
Disciplinary disclosures
Western Wealth Management LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗westernwealthmgmt.net ↗
AtlasMembers
The full record on Western Wealth Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 765 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Colorado
All of Colorado →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Empower Advisory Group, LLCGreenwood Village | $195B | 293,347 |
| Mercer Global Advisors Inc.Denver | $84B | 35,044 |
| Aspen Grove Capital, LLCAvon | $6.7B | 40 |
| JFG Family OfficeDenver | $4.5B | 162 |
| BOK Financial Private Wealth, Inc.Denver | $3.7B | 737 |
| GHP Investment Advisors IncDenver | $3.1B | 1,226 |
Background
Questions
How much does Western Wealth Management LLC manage?
Western Wealth Management LLC reports $5.4B in regulatory assets under management across 19,273 accounts, 96% of it on a discretionary basis, on its Form ADV filed June 9, 2026.
How many clients does Western Wealth Management LLC have?
It reports 11,019 individual clients: 3,272 high-net-worth individuals and 7,747 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Western Wealth Management LLC headquartered?
Its main office is in Golden, Colorado. It reports 41 offices in total and 98 employees, 95 of whom perform investment advisory functions.
How does Western Wealth Management LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Western Wealth Management LLC use?
It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Charles Schwab. On Schedule D of its Form ADV filed June 9, 2026, it reports these amounts held: LPL Financial ($4.4B); Charles Schwab ($666M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Western Wealth Management LLC a hybrid RIA with a broker-dealer?
Western Wealth Management LLC is a hybrid RIA: 79 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Western Wealth Management LLC a fiduciary?
As an SEC-registered investment adviser, Western Wealth Management LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 79 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Western Wealth Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →