DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A••••••• I••••••••• M••••••••• L•

CRD 159070

SEATTLE, WA

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Search this name across graphsid dfx:ria:d01e1ce0-f77e-96af-f18c-0cc0cd3728fe

Data as of Apr 12, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 11
On other graphs: 0
Observed: Feb 23, 2012 to Apr 12, 2024
38 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: $6.1B••• Locked
Discretionary RAUM: $6.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• W••••••• C••••••	CHIEF OPERATING OFFICER	Na	yes	01/2024	Jan 30, 2024	Apr 12, 2024
G•••••• S•••• H•••• F••• S••••••••• L••	L•••••• PARTNER	E	yes	12/2018	Jan 2, 2019	Apr 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• A•••• M••••••••• L•••	n/a	Other adviser	$2649B	N	yes	n/a
G•••••• S•••• A•••• M••••••••• I•••••••••	n/a	Asset manager	$621B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$6.1B	$6.5B	-7.4%	$4.1B	14.3%	7	8	0	0

Relationships

Affiliated with (25)

← G•••••• S•••• A•••• M••••••••• I•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
← G•••••• S•••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
← G•••••• S•••• • C•• L••Registered adviserother investment adviser, bank, LP sponsor, common control
factForm ADV
← G•••••• S•••• A•••• M••••••••• C••• L•••

Dated events

Occurred
Jan 30, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 9, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 9, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 10, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d01e1ce0-f77e-96af-f18c-0cc0cd3728fe
First observed: Feb 23, 2012
Last observed: Apr 12, 2024 29 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.