DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 10b 100b

V•••• A•••••••• I•••

CRD 110565

SEATTLE, WA

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Search this name across graphsid dfx:ria:4a519e23-4d41-b857-d095-d04364057ab9

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 8
On other graphs: 1
Observed: Mar 28, 2012 to Mar 20, 2026
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

V•••• A•••••••• I•••

Investment consultant · shared crd

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: $19B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 87
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• J••••••• J••••	Shareholder	D	yes	04/2012	Mar 28, 2012	Dec 11, 2024
M••••••• J••••••• J••••	DIRECTOR/CEO/SHAREHOLDER	Na	yes	08/2001	Mar 28, 2012	Dec 11, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	14	no
EL SEGUNDO	CA	United States	13	no
Pittsburgh	Pa	United States	4	no

Regulatory AUM by fiscal year

••• Locked

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

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	$19B	$18B	10.8%	$8.5B	31.7%	87	89	3	3

Relationships

Controls (5)

← M••••••• J••••••• J••••OwnerSHAREHOLDER, ownership code D, individual
Mar 28, 2012 to Dec 11, 2024factForm ADV
← W•••••• S••••• J•••••OwnerEVP/SENIOR CONSULTANT/SHAREHOLDER, ownership code A, individual
Mar 28, 2012 to Dec 11, 2024factForm ADV
← M••••• K••••• S•••••OwnerPRESIDENT/CHIEF FINANCIAL OFFICER/SHAREHOLDER, ownership code NA, individual
Mar 31, 2014 to Dec 11, 2024factForm ADV
← T••••• I••• M•OwnerCHIEF INVESTMENT OFFICER, SHAREHOLDER, ownership code NA, individual
Mar 28, 2018 to Dec 11, 2024

Dated events

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

Occurred
Mar 27, 2025
Regulatory AUM changed
V•••• A•••••••• I••• reported RAUM $17.5B, up 59% from $11.0B (2024-12-11 to 2025-03-27)
Form ADVobserved 7 days ago
$6.5B
Occurred
Dec 11, 2024
Control person left
Jean Shelly Heier (Director/President/Senior Consultant/Shareholder) no longer on Schedule A of V•••• A•••••••• I••• (listed 2024-03-28, absent 2024-12-11)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
V•••• A•••••••• I••• reported RAUM $11.0B, up 30% from $8.5B (2023-03-29 to 2024-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a519e23-4d41-b857-d095-d04364057ab9
First observed: Mar 28, 2012
Last observed: Mar 20, 2026 6 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.