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THE INSTITUTE

DENVER, CO · CRD 127207 · IAPD ↗ · 303-572-3500

$1.37BRegulatory AUM
17Advisory reps
18Employees
0Clients
251-500Planning clients
2Private funds
23States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
August 2026 — THE INSTITUTE added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2026 — THE INSTITUTE grew from 3 to 21 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
30
December 2025 — THE INSTITUTE changed its website from secure.iwm401k.com to retirementriskadvisors.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
55
May 2025 — THE INSTITUTE added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
69
April 2025 — THE INSTITUTE reports 251-500 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2025 — THE INSTITUTE crossed $1B in regulatory AUM ($926.9M -> $1.15B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
August 2024 — THE INSTITUTE notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
August 2024 — THE INSTITUTE added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2024 — THE INSTITUTE reported RAUM up 27% ($731.8M -> $926.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.