DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 305115
BELLEVUE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| TERRANCE LEO COOK | n/a | BELLEVUE, WA | 6 | 33 | 2 | no |
| JENNIFER NAGAI | n/a | BELLEVUE, WA | 6 | 20 | 1 | no |
| KATHLEEN ELIZABETH CARBONE | Certified Financial Planner | BELLEVUE, WA | 6 | 11 | 1 | no |
| Peter Gabriel Besel | Certified Financial Planner | BELLEVUE, WA | 5 | 13 | n/a | no |
| Kevin Lewis Penner | Certified Financial Planner | BELLEVUE, WA | 4 | 10 | 3 | no |
| Peter Barnes | n/a | BELLEVUE, WA | 4 | 13 | n/a | no |
| Stacee Leigh Kratovil | Certified Financial Planner | BELLEVUE, WA | 4 | 15 | n/a | no |
| Diego Arias | n/a | BELLEVUE, WA | 2 | 11 | n/a | no |
| Abigail Frances Miller | n/a | BELLEVUE, WA | 2 | 12 | n/a | no |
| Nathan James Mumford | Chartered Financial Analyst | BELLEVUE, WA | 1 | 11 | 1 | no |
| Daniel Reuben | Certified Financial Planner | BELLEVUE, WA | 1 | 10 | 2 | no |
| Jack Dolan | Chartered Financial Analyst | BELLEVUE, WA | 1 | 11 | n/a | no |
| Tyler Frank Rockwell | n/a | BELLEVUE, WA | 0 | 10 | n/a | no |
| Zachary Shaw Cleveland | Chartered Financial Analyst | BELLEVUE, WA | 0 | 14 | 1 | no |
| Kalena Larry Laurent | n/a | BELLEVUE, WA | 0 | 13 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COOK, TERRANCE, LEO | MANAGING MEMBER | E | yes | 10/2019 | Mar 10, 2026 | Mar 10, 2026 |
| King, Samuel, D | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2025 | Mar 10, 2026 | Mar 10, 2026 |
| ZASKE, ARTHUR, ROWLAND | CHIEF INVESTMENT OFFICER | Na | yes | 10/2025 | Mar 10, 2026 | Mar 10, 2026 |
| CARBONE, KATHLEEN, ELIZABETH | Partner | Na | no | 10/2025 | Mar 10, 2026 | Mar 10, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 10, 2026 | $3.0B | $2.1B | 28 | 14 | 0 | n/a | n/a |
| 2024 | Apr 30, 2025 | $2.5B | $2.5B | 25 | 15 | 0 | n/a | n/a |
| 2023 | Mar 22, 2024 | $2.2B | $2.2B | 29 | 18 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.7B | $1.7B | 28 | 13 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $2.1B | $2.1B | 22 | 10 | 0 | n/a | n/a |
| 2020 | Mar 23, 2021 | $1.5B | $1.5B | 20 | 11 | 0 | n/a | n/a |
| 2019 | May 12, 2020 | $1.1B | $1.1B | 18 | 13 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 2 | -1 | 13.3% | 0 | 0 | 0 | 6 | 12 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.0B | $2.5B | 16.7% | $1.7B | 19.1% | 28 | 25 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | 2 | Nov 6, 2019 | May 8, 2020 | WEEHAWKEN, NJ | Team lift out | Wirehouse to new firm | 0.0% |
| UBS FINANCIAL SERVICES INC. | 7 | Nov 6, 2019 | May 12, 2020 | BELLEVUE, WA | Team lift out | Wirehouse to new firm | 0.1% |