SourcingSourcing

ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.

C48
CRD 127140·SEC 801-126829·SUGAR LAND, TX
AUM
$23.5M
<$25M
Est. Revenue
$235K
@ 1% on AUM
Est. EBITDA
$71K
@ 30% margin
Est. Deal Value
$565K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
CRD
127140
SEC file #
801-126829
EIN
562352435
DBA names
—

Economics

AUM
$23.5M
AUM band
<$25M
AUM trajectory
'23'26
$44.8M → $23.5M▼ -47%
Client mix
Pooled Investment Vehicles2

Operations

Employees (total)
4
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'23'26
2 advisors → 1 advisors▼ -50%
Primary office
SUGAR LAND TX
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
rmpwm.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
COLE, TAYLOR, LEIGH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
COLE, TAYLOR, LEIGH
PARMET, ANDREW, MAX
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RMPWM.COM
Rdap Domain Creation Date
2006-05-02T18:49:02Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001581594
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2016-02-16
Edgar Last Filing Date
2023-06-23
Edgar 13f Count
4
Edgar 13f Latest AUM Estimate
Filing Date2016-11-14
Accession0001606587-16-000861

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.499
Soi Zip Pct 200k Plus
0.2717
Soi Zip Returns 200k Plus
10,960
Soi Zip Total AGI
8,397,474
Fdic Zip Total Deposits
42,570,710,000
Fdic Zip Branch Count
468
Fdic Zip Top Banks
Bank of America, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab12
E*trade4
Edgar Addresses
Mailing
2245 TEXAS DRIVESUITE 300SUGAR LAND, TX 77479
Business
2245 TEXAS DRIVESUITE 300SUGAR LAND, TX 77479
Edgar EIN
562352435
Edgar Recent Filings
40-APP/A2023-06-23 · 0001580642-23-003297
40-APP/A2023-03-20 · 0001580642-23-001612
Fdic Zip Branches Raw
Rosenberg Bank and TrustSugar Land, TX
Victoria Bank and Trust CompanySugar Land, TX
Fdic Zip HHI
999.84
Fdic Zip Top Bank Share Pct
16.7
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
Yes
Rdap Domain Expiration Date
2026-06-01T11:59:59Z
Rdap Domain Last Changed
2025-06-02T15:15:59Z
Rdap Nameservers
Ns25.domaincontrol.comNs26.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI93,247
Returns8,270
Stub 2
AGI174,543
Returns4,770
Stub 3
AGI246,150
Returns3,960
Soi Zip Total Business Income
219,504
Soi Zip Total Cap Gains
1,137,427
Soi Zip Total Dividends
283,434
Soi Zip Total Returns
40,340
Top Owner CRD
5606485
Trust Company Affiliate
No

People (3)

3
COLE, TAYLOR, LEIGH
Direct Owner · 87.5%
5606485
ANDREW MAX PARMET
Executive Officer · 2.5%
4983255
Deangelis, Mark, Joseph
IAR
2827088