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TIER ONE WEALTH MANAGEMENT

LONE TREE, CO · CRD 322893 · IAPD ↗ · tieronewm.com · 303-858-0000

$154.0MRegulatory AUM
3Advisory reps
4Employees
0Clients
1-10Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2025 — TIER ONE WEALTH MANAGEMENT notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2025 — TIER ONE WEALTH MANAGEMENT reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
62
April 2025 — TIER ONE WEALTH MANAGEMENT reported RAUM up 35% ($92.6M -> $125.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
February 2024 — TIER ONE WEALTH MANAGEMENT's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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