DFX Intelligence

P••••••• P••••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••••• P••••••• C•••••• M••••••••• I•••

CRD 162313

SURREY

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Search this name across graphsid dfx:ria:1d4aa8e4-0a64-9049-ab22-f0f24a98bfdb

Data as of Jan 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jan 22, 2026
31 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $128M••• Locked
Discretionary RAUM: $125M
Private client RAUM: $128Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $16.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••••• S•••• S•••	Chartered Financial Analyst	Surrey	12	17	n/a	no
A••••••• B•••••	Chartered Financial Analyst	Surrey	10	17	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• I••••••••• L•••	Shareholder	C	yes	07/2016	Nov 1, 2016	Jan 10, 2024
B•••••• A•••••••	CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT	Na	yes	02/2012	Mar 29, 2012	Jan 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• P••••••• I••	n/a	Independent wealth	$316M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Blaine	Wa	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$128M	$105M	21.6%	$74.4M	19.9%	10	9	1	1

Relationships

Registered with (9)

← R•••••• A••• H•••• A•••••••Advisorregistration: current employment
Aug 25, 2026 to presentfactForm ADV
← D••••••• S•••• M•••••Advisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← G•••••• A••• S•••• N•••••Advisorregistration: current employment
May 16, 2024 to presentfactForm ADV
← T••••• A•••••••• H•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d4aa8e4-0a64-9049-ab22-f0f24a98bfdb
First observed: Mar 29, 2012
Last observed: Jan 22, 2026 8 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.