DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

N•••••••• A••••••••• I••

CRD 106544

SEATTLE, WA

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Search this name across graphsid dfx:ria:7087ca39-2a54-47a9-0f51-25b156844ce4

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Mar 29, 2012 to Mar 19, 2026
16 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: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.43 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $115M••• Locked
Discretionary RAUM: $115M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $28.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••• H•••• W•••••••	n/a	SEATTLE, WA	34	34	n/a	no
G•••• R••••••• B•••••••	n/a	SEATTLE, WA	34	49

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• G••••• R•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2001	Mar 29, 2012	Mar 20, 2024
E•••••••• A••••• Y••••••	VP/CONTROLLER	Na	yes	04/2014	Mar 12, 2020	Mar 20, 2024

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	$115M	$491M	-76.6%	$461M	-37.1%	380	381	0	0

Relationships

Registered with (4)

← K•••••• M••• H••••••••Advisorregistration: current employment
Mar 23, 2017 to presentfactForm ADV
← M•••••• M•••• S•••••Advisorregistration: current employment
May 26, 1992 to presentfactForm ADV
← G•••• R••••••• B•••••••Advisorregistration: current employment
May 8, 1992 to presentfactForm ADV
← F•••••• H•••• W•••••••

Dated events

Occurred
Mar 19, 2026
Regulatory AUM changed
N•••••••• A••••••••• I•• reported RAUM $114.8M, down 77% from $490.8M (2025-03-17 to 2026-03-19)
Form ADVobserved 7 days ago
$-376M
Occurred
Mar 22, 2021
Control person left
Robert Michael Herman (Sr Vice President) no longer on Schedule A of N•••••••• A••••••••• I•• (listed 2020-03-12, absent 2021-03-22)
Form ADVobserved 7 days ago
Occurred
Mar 12, 2020
Control person joined
Yolanda Arlyn Escalona (Vp/Controller) appeared on Schedule A of N•••••••• A••••••••• I••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7087ca39-2a54-47a9-0f51-25b156844ce4
First observed: Mar 29, 2012
Last observed: Mar 19, 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.