DFX Intelligence

C••••••• F••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

C••••••• F••• M••••••••• L••

CRD 310737

SEATTLE, WA

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Search this name across graphsid dfx:ria:7372cce1-4090-1bba-5e1a-11521a46a59a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Oct 22, 2021 to Mar 31, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $9.0M••• Locked
Discretionary RAUM: $9.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $9.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• C•••• H••••	n/a	SEATTLE, WA	4	19	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• I•••	SOLE MEMBER	E	yes	05/2019	Oct 22, 2021	Sep 18, 2024
G••••••• W••••••• C•••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2023	Oct 22, 2021	Sep 18, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$9.0M	$8.1M	11.1%	$6.0M	14.8%	0	0	0	0

Relationships

Registered with (1)

← S••• C•••• H••••Advisorregistration: current employment
Sep 12, 2022 to presentfactForm ADV

Controls (4)

← G••••••• W••••••• C•••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 22, 2021 to Sep 18, 2024factForm ADV
← H••••• S•••• C••••OwnerCEO, ownership code C, individual
Oct 22, 2021 to Sep 18, 2024factForm ADV
← M••••••• J•••••• L•••OwnerCTO, ownership code C, individual

Dated events

Occurred
Sep 18, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 11, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 20, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 22, 2021
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7372cce1-4090-1bba-5e1a-11521a46a59a
First observed: Oct 22, 2021
Last observed: Mar 31, 2026 5 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.