DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• A••••••• G•••• L•••••

CRD 116083

GIG HARBOR, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:94e738ec-705f-6f1b-add7-6c2090379600

Data as of Aug 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 89
Dated events: 10
On other graphs: 0
Observed: Feb 21, 2012 to Aug 21, 2026
86 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $468M••• Locked
Discretionary RAUM: $466M
Private client RAUM: $466Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $31.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••• D•••• S•••••••	n/a	GIG HARBOR, WA \| Toms River, NJ	18	41	1	yes
L•••• G••• S•••••••	n/a	Toms River, NJ \| GIG HARBOR, WA	18	42

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•• V••••••• L••	Owner	D	yes	09/2016	Oct 3, 2016	Mar 26, 2024
F•••••••• R•••• C•••••••••	Owner	E	yes	05/2014	Oct 11, 2016	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P• A•••• M••••••••• L••	n/a	Asset manager	$40.3M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
FORT LAUDERDALE	FL	United States	2	no
TOMS RIVER	Nj	United States	2	yes
NEW YORK	NY	United States	2	yes
Portland	Or	United States	2	no
Plantation	FL	United States

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	1	3

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	$468M	$417M	12.1%	$367M	8.4%	15	15	8	9

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• C•••••• M•••••••••	2	May 31, 2017	Feb 18, 2017	GIG HARBOR, WA	Team lift out	Other	15.4%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• A•••••••	2	Oct 4, 2016	Jan 3, 2017	REDMOND, WA	Team lift out	Other	33.3%

Relationships

showing 80 of 89

Affiliated with (3)

→ P• A•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
← S••••• A•••••• S••••••••Registered adviserother investment adviser, common control
factForm ADV
← S••Registered adviserother investment adviser, common control
factForm ADV

Registered with (66)

← M•••••• D•••• S••••

Dated events

Occurred
Aug 21, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Aug 21, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 21, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Aug 21, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94e738ec-705f-6f1b-add7-6c2090379600
First observed: Feb 21, 2012
Last observed: Aug 21, 2026 33 days 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.