DFX Intelligence

U•••••••• W••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

U•••••••• W••••• P•••••••

U••••••••, LLC, CRD 304462

SEATTLE, WA

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Data as of Jan 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Jun 17, 2019 to Jan 31, 2025
14 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $291M••• Locked
Discretionary RAUM: $289M
Private client RAUM: $291Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• C•••• J••••	Partner	B	yes	07/2019	Jun 17, 2019	Feb 2, 2024
P•••••• M••• K••••••••	MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER	E	yes	07/2019	Jun 17, 2019	Feb 2, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$291M	$263M	11.0%	$268M	2.9%	3	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• W•••••• L••	3	May 12, 2025	Mar 11, 2025	SEATTLE, WA	Firm absorbed	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• F•••• A•••••••	2	Aug 5, 2019	Jul 31, 2019	SEATTLE, WA	Team lift out	Wirehouse to new firm	0.1%

Relationships

Registered with (3)

← M••• K•••••••• P•••••Advisorregistration: previous registration
Jul 31, 2019 to May 12, 2025factForm ADV
← C•••• J•••• H•••••Advisorregistration: previous registration
Jul 31, 2019 to May 12, 2025factForm ADV
← B••••• R• T•••••••Advisorregistration: previous registration
Feb 7, 2022 to May 12, 2025factForm ADV

Moved with (2)

Dated events

Order

Occurred
2 Jun 2025
Left the SEC roster
••• Locked
Form ADV
$291M
Occurred
12 May 2025
Advisor changed firm3 events
U•••••••• W••••• P•••••••: advisor changed firm, 3 counterparties, on 12 May 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
12 May 2025
Firm absorbed
••• Locked
Form ADV
3 advisors
Occurred
17 Jun 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 17, 2019
Last observed: Jan 31, 2025 20 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.