DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G••••••• • A••••••••• I•••

CRD 116462

BELLINGHAM, WA

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Search this name across graphsid dfx:ria:471328ae-4042-7ba5-2053-9e6c1234d017

Data as of Jun 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Jun 21, 2012
3 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
SEC number: 801-63995
CRD: 116462
Filings on the tape: 3
First filed: Mar 19, 2012
Latest filed: Jun 21, 2012
Organised

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• M•••••••• G•••••••	n/a	BELLINGHAM, WA \| Kamiah, ID	26	28	n/a	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• L••••• C•••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	03/1987	Mar 19, 2012	Jun 21, 2012
G•••••••• R••••••• P•••	CHIEF FINANCIAL OFFICER	C	yes	03/1987	Mar 19, 2012	Jun 21, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• J•••• F•••••••• S••••••• I••	n/a	n/a	n/a	N	no	FL

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 19, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← G•••••••• R••••••• P•••OwnerCHIEF FINANCIAL OFFICER, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV
← G•••••••• L••••• C•••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV

Owns (1)

← G•••••••• M••••••• M••••••••OwnerVICE PRESIDENT, ownership code A, individual
Mar 19, 2012 to presentfactForm ADV

Registered with (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:471328ae-4042-7ba5-2053-9e6c1234d017
First observed: Mar 19, 2012
Last observed: Jun 21, 2012 173 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.