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

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

N••••••• F•••••••• G••••• L••

CRD 132578

VANCOUVER, WA

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Data as of Jul 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Jul 8, 2020
17 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: $603M••• Locked
Discretionary RAUM: $603M
Private client RAUM: $603Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• R•••••• F••••••	Member	D	yes	10/2009	Mar 28, 2012	Jul 8, 2020
B•••••• C•••• M•••••••	MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	10/2010	Mar 28, 2012	Jul 8, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$603M	$504M	19.7%	$368M	17.9%	14	8	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E• W••••• A•••••••	2	Feb 23, 2021	Feb 9, 2021	SAN MATEO, CA	Team lift out	RIA to RIA	28.6%
E• W••••• A•••••••	4	Feb 23, 2021	Feb 10, 2021

Relationships

Controls (2)

← B•••••• C•••• M•••••••OwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← B••••• R•••••• F••••••OwnerMEMBER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (12)

← C••• M••••••• B•••••Advisorregistration: previous registration
Oct 15, 2010 to Mar 31, 2021factForm ADV
← R••• P•••••• I••••••

Dated events

Order

Occurred
30 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$109M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2012
Last observed: Jul 8, 2020 75 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.