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WAMBOLT & ASSOCIATES, LLC

LITTLETON, CO · CRD 153454 · IAPD ↗ · wamboltwealth.com · 720-962-6700

$586.8MRegulatory AUM
6Advisory reps
13Employees
0Clients
0Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
December 2025 — WAMBOLT & ASSOCIATES, LLC (LITTLETON, CO) left the SEC roster (was $586.8M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
53
April 2025 — WAMBOLT & ASSOCIATES, LLC shrank from 10 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
68
April 2025 — WAMBOLT & ASSOCIATES, LLC now reports custody of client assets ($267.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2024 — WAMBOLT & ASSOCIATES, LLC crossed $500M in regulatory AUM ($419.3M -> $564.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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