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CRD 337346
SEATTLE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| E•••••••• L••• P••••• | n/a | SEATTLE, WA | 1 | 13 | 5 | no |
| K• L•••• L•• | n/a | SEATTLE, WA | 1 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• R••••• | President | Na | yes | 08/2025 | Jan 29, 2026 | Jan 29, 2026 |
| C•••••• J•••• F• | CHIEF EXECUTIVE OFFICER | Na | yes | 08/2025 | Jan 29, 2026 | Jan 29, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Jan 29, 2026 | $348M | $287M | 14 | 7 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 9.1% | 0 | 0 | 0 | 9 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $348M | n/a | n/a | n/a | n/a | 14 | n/a | 0 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 4 | Sep 2, 2025 | Sep 2, 2025 | SEATTLE, WA | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| R••••• C••••••• | n/a | SEATTLE, WA | 1 | 16 | 1 | no |
| J•••••• D• C•••••• | n/a | SEATTLE, WA | 1 | 10 | 1 | no |
| J••• F•••••• C••••• | Certified Financial Planner | SEATTLE, WA | 1 | 32 | 1 | no |
| E•••• E• S••••••• | n/a | SEATTLE, WA | 0 | 16 | 2 | no |
| M•••••• J••••• T••••••• | Chartered Financial Analyst | SEATTLE, WA | 0 | 14 | 1 | no |
| L•••• N••••• S•••••• | Certified Financial Planner | SEATTLE, WA | 0 | 9 | 1 | no |
| D••••• R•• C•••• | n/a | SEATTLE, WA | 0 | 11 | n/a | no |
| M••••• R••• C••••••• | n/a | SEATTLE, WA | 0 | 13 | n/a | no |
| E••• D••••• A••••• | n/a | SEATTLE, WA | 0 | 10 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 11/2025 |
| Jan 29, 2026 |
| Jan 29, 2026 |
| T•••••••• M••••••• J••••• | CHIEF INVESTMENT OFFICER | Na | no | 01/2026 | Jan 29, 2026 | Jan 29, 2026 |