DFX Intelligence

A•••••• I••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 1b 10b

A•••••• I••••••••• L••

CRD 155782

SEATTLE, WA

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Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Mar 20, 2014 to Apr 16, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderived••• Locked
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $741Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• D•••• T•••••	Chartered Financial Analyst	SEATTLE, WA	15	15	n/a	yes
D••••• W••••• J•••••	Chartered Financial Analyst	SEATTLE, WA	15	15

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••• E••••••• M•••••• S•••• C•• F•••• L•	Other Private Fund	$4.0M	Apr 16, 2026	7	Mar 20, 2014	reported	021-235021
A•••••• L••••••••• F•••• L•	Hedge Fund	$790,778

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• D•••••• W•••••	Manager	C	yes	11/2010	Mar 20, 2014	Oct 9, 2024
T•••••• C••••••••• D••••	MANAGER AND MEMBER	D	yes	01/2011	Mar 20, 2014	Oct 9, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.5B	$1.3B	15.1%	$818M	21.9%	7	7	0	0

Relationships

Advises (2)

→ A•••••• L••••••••• F•••• L•Private fundHedge Fund, IA
Jan 18, 2012 to presentfactForm ADV
→ A•••••• E••••••• M•••••• S•••• C•• F•••• L•Private fundOther Private Fund, IA
Mar 20, 2014 to presentfactForm ADV

Registered with (2)

← C••••••••• D•••• T•••••Advisorregistration: current employment
Apr 20, 2011 to presentfactForm ADV

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
6 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$384M
Occurred
6 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$252M
Occurred
6 Mar 2022
Control person left
••• Locked
Form ADV
Occurred
20 Mar 2014
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Apr 16, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2014
Last observed: Apr 16, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$348M	$348M	6	5	n/a	2	$4.4M
2014	Mar 18, 2015	$340M	$340M	6	5	n/a	2	$7.4M