DFX Intelligence

N•••••••• I••••••••• C••••••••• 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

N•••••••• I••••••••• C••••••••• I•••

CRD 108359

SEATTLE, WA

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Search this name across graphsid dfx:ria:d36dda06-ec41-fec8-fefc-b565f13a4434

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 1
Observed: Feb 22, 2012 to Mar 29, 2021
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

N•••••••• I••••••••• C••••••••• I•••

Investment consultant · key crd, shared crd

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: $451M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 165
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••••• H•••••••• I•••	DIRECT OWNER	E	yes	11/2012	Jan 17, 2013	Mar 29, 2021
N••• H•••••••• I•••	Shareholder	E	yes	05/2016	Mar 13, 2018	Mar 29, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• J•••• • A••••••••• I•••	n/a	National bd RIA	$501B	N	yes	n/a
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	n/a	Bd affiliated wealth	$390B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2020	$451M	$404M	11.5%	$353M	8.4%	165	135	0	0

Relationships

Affiliated with (9)

→ C••••• G••••• I•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ E•••• A•••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• I••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ R•••••• J•••• I••••••••• C•••••• L•••Registered adviserother investment adviser, common control

Dated events

Occurred
Jan 21, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d36dda06-ec41-fec8-fefc-b565f13a4434
First observed: Feb 22, 2012
Last observed: Mar 29, 2021 66 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.