{
  "crd_number": 282860,
  "slug": "whipplewood-advisors-llc-littleton-co-282860",
  "primary_business_name": "WHIPPLEWOOD ADVISORS, LLC",
  "legal_name": "WHIPPLEWOOD ADVISORS, LLC",
  "dbas": [],
  "city": "Littleton",
  "state": "CO",
  "country": "United States",
  "cbsa_code": "19740",
  "metro": {
    "cbsa_code": "19740",
    "common_name": "Denver",
    "msa_name": "Denver-Aurora-Centennial, CO",
    "path": "/advisors/co/denver"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-10-02",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-05-08",
  "carried_forward": false,
  "raum_total": 324509539.0,
  "raum_discretionary": 320469676.0,
  "raum_non_discretionary": 4039863.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 600216.0,
      "count": 6
    },
    "individuals": {
      "raum": 29728640.0,
      "count": 169
    },
    "high_net_worth_individuals": {
      "raum": 290613942.0,
      "count": 197
    },
    "corporations_other_businesses": {
      "raum": 3566741.0,
      "count": 5
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "IL",
    "NE",
    "NM",
    "TX"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282860",
  "city_as_filed": "LITTLETON",
  "url": "https://advisorcensus.com/firm/whipplewood-advisors-llc-littleton-co-282860",
  "display_name": "Whipplewood Advisors, LLC",
  "summary": "Whipplewood Advisors, LLC is an SEC-registered investment advisory firm in Littleton, CO, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 8, 2026.",
  "citation": "AdvisorCensus. Whipplewood Advisors, LLC (CRD 282860): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Whipplewood Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Whipplewood Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Whipplewood Advisors, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated May 8, 2026 states: Flat fee: $2,500 to $75,000 (financial planning); Hourly rate: $150 to $500 an hour (creating your financial plan). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Whipplewood Advisors, LLC located?",
      "a": "Whipplewood Advisors, LLC's principal office is in Littleton, CO, according to its Form ADV."
    },
    {
      "q": "Is Whipplewood Advisors, LLC registered with the SEC or a state?",
      "a": "Whipplewood Advisors, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 282860."
    },
    {
      "q": "How much does Whipplewood Advisors, LLC manage?",
      "a": "Whipplewood Advisors, LLC reports $324,509,539 in regulatory assets under management in its Form ADV filing dated May 8, 2026 (99% discretionary)."
    },
    {
      "q": "How have Whipplewood Advisors, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Whipplewood Advisors, LLC: Regulatory assets under management: $166,852,630 in the October 2021 data and $324,509,539 in the October 2026 data, up 94%. Total employees: 5 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Whipplewood Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (197); individuals (other than high net worth individuals) (169); charitable organizations (6)."
    },
    {
      "q": "Which custodians does Whipplewood Advisors, LLC use?",
      "a": "Whipplewood Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists SEI Investments Distribution Co. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Whipplewood Advisors, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/282860"
    },
    {
      "q": "Does Whipplewood Advisors, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated May 8, 2026 says: \"We provide investment advice to individuals, high net individuals, charitable organizations, estates and trusts. We have no minimum initial account value for opening an account with our firm.\""
    },
    {
      "q": "What changed in Whipplewood Advisors, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 7 to 6. Regulatory assets under management went from $288,037,168 to $324,509,539 (+13%). Registered or notice-filed in NM."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 166852630.0,
      "total_employees": 5,
      "filing_date": "2021-09-13"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 212241726.0,
      "total_employees": 5,
      "filing_date": "2022-03-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 208119313.0,
      "total_employees": 6,
      "filing_date": "2023-03-08"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 267381182.0,
      "total_employees": 6,
      "filing_date": "2024-04-01"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 288037168.0,
      "total_employees": 7,
      "filing_date": "2025-03-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 324509539.0,
      "total_employees": 6,
      "filing_date": "2026-05-08"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 7 to 6.",
        "Regulatory assets under management went from $288,037,168 to $324,509,539 (+13%).",
        "Registered or notice-filed in NM."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated May 8, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $2,500 to $75,000 (financial planning)",
      "Hourly rate: $150 to $500 an hour (creating your financial plan)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We provide investment advice to individuals, high net individuals, charitable organizations, estates and trusts. We have no minimum initial account value for opening an account with our firm."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $2,500 to $75,000 (financial planning)"
        ],
        "quotes": [
          "Financial Planning fees are fixed fees or variable fees and range from $ 2,500 to $75,000."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $150 to $500 an hour (creating your financial plan)"
        ],
        "quotes": [
          "The hourly rate used for this purpose ranges from $150/hour to $500/hour depending on professional staff’s time allocated to preparation of the Plan ."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 2500.0,
          "max": 75000.0,
          "period": "one_time",
          "service": "financial planning"
        },
        {
          "kind": "hourly",
          "amount": null,
          "min": 150.0,
          "max": 500.0,
          "period": "hour",
          "service": "creating your financial plan"
        }
      ]
    },
    "quotes": [
      "We provide investment advice to individuals, high net individuals, charitable organizations, estates and trusts. We have no minimum initial account value for opening an account with our firm.",
      "Financial Planning fees are fixed fees or variable fees and range from $ 2,500 to $75,000.",
      "The hourly rate used for this purpose ranges from $150/hour to $500/hour depending on professional staff’s time allocated to preparation of the Plan ."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "SEI Investments Distribution Co.",
      "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/whipplewood-advisors-llc-littleton-co-282860.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 169,
      "fewer_than_5": false,
      "raum": 29728640.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 197,
      "fewer_than_5": false,
      "raum": 290613942.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 6,
      "fewer_than_5": false,
      "raum": 600216.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 3566741.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282860",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}