DFX Intelligence
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Reading the graph
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CRD 282356
VANCOUVER, 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 |
|---|---|---|---|---|---|---|
| G••• N••••••• R•••••• | n/a | VANCOUVER, WA | 0 | 26 | 5 | no |
| H••••• A•••••••• M•••• | n/a | VANCOUVER, WA | Scottsdale, AZ | 0 | 19 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••• L•• | Owner | D | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| F••••••• R•••••• J• | CO-HEAD OF WEALTH MANAGEMENT | Na | yes | 10/2023 | Jan 2, 2024 | Aug 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• T•• G•••• L•• | n/a | n/a | n/a | N | no | n/a |
| H• M•••• • A••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H••••• D•• T•• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Scottsdale | Az | United States | 2 | no |
| Berkeley | CA | United States | 2 | no |
| Lafayette | CA | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 20.0% | 0 | 0 | 0 | 1 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $234M | $308M | -24.1% | $205M | 4.5% | 7 | 10 | 1 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H••••• W••••• M••••••••• | 2 | Aug 18, 2025 | Sep 3, 2025 | EVERETT, WA | Team lift out | RIA to new firm | 28.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H••••••• W••••• P••••••• | 2 | Jul 21, 2022 | Jun 1, 2023 | SHERMAN OAKS, CA | Team lift out | RIA to RIA | 18.2% |
| C•••••• C•••••• M••••••••• | 2 | Apr 12, 2016 | Apr 6, 2016 |
| no |
| R••••• J• F•••••• | n/a | VANCOUVER, WA | 0 | 17 | 6 | no |
| M••••• A•• W••••••• | n/a | VANCOUVER, WA | 0 | 12 | 1 | no |
| B•••• K••• | Certified Financial Planner | VANCOUVER, WA | Atlanta, GA | 0 | 18 | 1 | no |
| Member |
| E |
| yes |
| 11/2015 |
| Aug 15, 2022 |
| Aug 20, 2024 |
| K••••••• V••••••• L•• | Owner | D | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| M••••• H•••••• A•••••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| M••••• H•••••• A•••••••• | Member | E | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| R••••••• G•••• N••••••• | President | Na | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| R••••••• G•••• N••••••• | Member | E | yes | 11/2015 | Aug 15, 2022 | Aug 20, 2024 |
| W••••••••• R••••• | CO-HEAD OF WEALTH MANAGEMENT | Na | no | 10/2023 | Jan 2, 2024 | Aug 20, 2024 |
| n/a |
| N |
| no |
| n/a |
| H••••• T•• L•• | n/a | n/a | n/a | N | yes | n/a |
| T•• T•• A•• A••••••••• G•••• | n/a | n/a | n/a | N | no | n/a |
| $234M |
| $225M |
| 7 |
| 4 |
| 1 |
| 1 |
| n/a |
| 2024 | Mar 31, 2025 | $308M | $283M | 10 | 7 | 3 | 1 | n/a |
| 2023 | Mar 27, 2024 | $251M | $228M | 11 | 8 | 3 | n/a | n/a |
| 2022 | Mar 27, 2023 | $205M | $118M | 10 | 8 | 3 | n/a | n/a |
| BELLEVUE, WA |
| Team lift out |
| Other |
| 33.3% |