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

SWEETWATER INVESTMENTS INC

CRD 107493

REDMOND, 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:a29dc7fe-36f7-4cd8-49c1-26e98797468c

Data as of Mar 25, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 3, 2012 to Mar 25, 2018
10 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: $465MItem 5.F on the latest filing (2018-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $348M
Private client RAUM: $465MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 226
High net worth clients: 226
SEC number: 801-35176
CRD: 107493
Filings on the tape: 10
First filed: Feb 3, 2012
Latest filed: Mar 25, 2018
Organised: Corporation, Washington

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
INCOME FLOOD LP	Hedge Fund	$71.9M	May 5, 2016	25	Feb 3, 2012	dropped	n/a
SWEETWATER INCOME FLOOD LP	Other Private Fund	$55.7M	May 5, 2016	29	Mar 22, 2016	dropped	n/a

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
GIBB, DENNIS, ROBERT	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	07/1989	Feb 3, 2012	Mar 25, 2018
MILLER, DARYL, KIM	DIRECTOR OF FINANCIAL PLANNING	Na	no	12/2010	Feb 3, 2012	Mar 25, 2018

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Valhalla	NY	United States	4	no

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
2017	Mar 25, 2018	$465M	$348M	7	6	1	n/a	n/a
2016	Mar 30, 2017	$1.1B	$558M	7	6	n/a	n/a	n/a
2015	Mar 22, 2016	$1.1B	$396M	4	4	n/a	2	$128M
2014	Mar 4, 2015	$1.3B	$456M	5	3	n/a	1	$71.9M
2013	Mar 6, 2014	$1.3B	$410M	3	3	n/a	1	$57.3M
2012	Mar 4, 2013	$1.5B	$1.1B	4	2	n/a	1	$57.3M
2011	Feb 3, 2012	$1.6B	$388M	n/a	n/a	n/a	1	$75.3M

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
2017	$465M	$1.1B	-55.9%	$1.3B	-29.0%	7	7	1	n/a

Relationships

Owns (1)

← MILLER, DARYL, KIMOwnerDIRECTOR OF FINANCIAL PLANNING, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV

Controls (1)

← GIBB, DENNIS, ROBERTOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 3, 2012 to presentfactForm ADV

Registered with (2)

← DARYL KIM MILLERAdvisorregistration: previous registration
May 25, 2007 to Feb 6, 2019factForm ADV
← CHRISTOPHER JOHN STEWARDAdvisorregistration: previous registration
Feb 18, 2016 to Apr 5, 2016factForm ADV

Advises (2)

→ SWEETWATER INCOME FLOOD LPPrivate fundOther Private Fund, IA, no longer reported
Mar 22, 2016 to May 5, 2016factForm ADV
→ INCOME FLOOD LPPrivate fundHedge Fund, IA, no longer reported
Feb 3, 2012 to May 5, 2016factForm ADV

Dated events

Occurred
Mar 25, 2018
Regulatory AUM changed
Sweetwater Investments Inc reported RAUM $465.4M, down 56% from $1.1B (2018-01-19 to 2018-03-25)
Form ADVobserved 5 days ago
$-591M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a29dc7fe-36f7-4cd8-49c1-26e98797468c
First observed: Feb 3, 2012
Last observed: Mar 25, 2018 103 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.

SWEETWATER INVESTMENTS INC

CRD 107493

REDMOND, 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:a29dc7fe-36f7-4cd8-49c1-26e98797468c

Data as of Mar 25, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

INCOME FLOOD LP

Hedge Fund

$71.9M

May 5, 2016

Feb 3, 2012

dropped

n/a

SWEETWATER INCOME FLOOD LP

Other Private Fund

$55.7M

May 5, 2016

Mar 22, 2016

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GIBB, DENNIS, ROBERT

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

07/1989

Feb 3, 2012

Mar 25, 2018

MILLER, DARYL, KIM

DIRECTOR OF FINANCIAL PLANNING

12/2010

Feb 3, 2012

Mar 25, 2018

City

State

Country

Employees

Also broker-dealer

Valhalla

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 25, 2018

$465M

$348M

n/a

2016

Mar 30, 2017

$1.1B

$558M

n/a

2015

Mar 22, 2016

$1.1B

$396M

n/a

$128M

2014

Mar 4, 2015

$1.3B

$456M

n/a

$71.9M

2013

Mar 6, 2014

$1.3B

$410M

n/a

$57.3M

2012

Mar 4, 2013

$1.5B

$1.1B

n/a

$57.3M

2011

Feb 3, 2012

$1.6B

$388M

n/a

$75.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$465M

$1.1B

-55.9%

$1.3B

-29.0%

n/a