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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R•••••• F•••••••• G••••• I•••

R•••••• F•••••••• G••••, CRD 122314

SEATTLE, WA

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Search this name across graphsid dfx:ria:565a19cf-5123-48f5-a7a4-7bf21382259a

Data as of Jan 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 30, 2017 to Jan 26, 2021
18 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: $382MItem 5.F on the latest filing (2021-01-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $364M
Private client RAUM: $377MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• G••••• E••••	CHIEF COMPLIANCE OFFICER	D	yes	07/2009	Oct 30, 2017	Jan 26, 2021
H••••••••• C•••• A••••	Owner	D	no	06/2002	Oct 30, 2017

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$382M	$311M	22.6%	$142M	39.1%	4	4	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••• P••••• A•••••••• L••	2	Aug 17, 2021	Aug 24, 2021	SEATTLE, WA	Team lift out	RIA to RIA	66.7%

Relationships

Controls (1)

← H••••••••• G••••• E••••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Oct 30, 2017 to presentfactForm ADV

Owns (1)

← H••••••••• C•••• A••••OwnerOWNER, ownership code D, individual
Oct 30, 2017 to presentfactForm ADV

Registered with (3)

← G•••• E•••• H•••••••••Advisorregistration: previous registration
Jul 22, 2003 to Sep 1, 2021factForm ADV

Dated events

Occurred
Mar 23, 2018
Regulatory AUM changed
R•••••• F•••••••• G••••• I••• reported RAUM $262.3M, up 85% from $141.7M (2018-03-23 to 2018-03-23)
Form ADVobserved 7 days ago
$121M
Occurred
Oct 30, 2017
First Form ADV filing
R•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:565a19cf-5123-48f5-a7a4-7bf21382259a
First observed: Oct 30, 2017
Last observed: Jan 26, 2021 68 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.