DFX Intelligence

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

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

F•••••••• M••••••••• I•••

CRD 117578

YAKIMA, WA

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Search this name across graphsid dfx:ria:b2542c26-6043-44b1-118d-49fc81446f88

Data as of Mar 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Sep 15, 2014 to Mar 27, 2020
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $477M••• Locked
Discretionary RAUM: $476M
Private client RAUM: $477Mderived••• 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
P••••••• C••••• L••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	03/1999	Sep 15, 2014	Mar 27, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Spokane	Wa	United States	6	no
Spokane	Wa	United States	2	no
Arlington	Wa	United States	1	no
Kennewick	Wa	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020

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	$477M	$386M	23.5%	$253M	23.6%	14	14	4	4

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• L••	2	Dec 2, 2020	Aug 13, 2020	YAKIMA, WA	Team lift out	RIA to ibd	66.7%
C••• L••	2	Sep 28, 2020	Jun 17, 2020

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Sep 8, 2016	Feb 5, 2001	KENNEWICK, WA	Team lift out	Other	0.0%

Relationships

Controls (1)

← P••••••• C••••• L••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 15, 2014 to presentfactForm ADV

Registered with (12)

← C•••• L•••• P••••••Advisorregistration: previous registration
Aug 19, 1999 to Dec 2, 2020factForm ADV
← R••••• A••• V••••••Advisorregistration: previous registration
Feb 5, 2001 to Dec 2, 2020factForm ADV
← V•••• A•• P••••••

Dated events

Occurred
Feb 28, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$101M
Occurred
Sep 15, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2542c26-6043-44b1-118d-49fc81446f88
First observed: Sep 15, 2014
Last observed: Mar 27, 2020 79 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.