DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F•••••••• A•••••••• A••••••• S•••••••

F•••••••• A•••••••• A••••••• S•••••••, LLC, CRD 147786

OLYMPIA, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d3e1630d-181c-aefe-3107-c1855ec38332

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 6
On other graphs: 0
Observed: May 23, 2017 to Mar 31, 2023
14 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-110695
CRD: 147786

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• G•••• R••	MANAGING MEMBER, CHAIRMAN, CHIEF STRATEGY OFFICER	Na	yes	11/2019	May 23, 2017	Mar 31, 2023
C•••••••• G•••• R••	Owner	E	yes	06/2000	May 23, 2017	Mar 31, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• A•••••••• I••••••••• M•••••••••	n/a	Former SEC adviser	$4.1B	N	yes	n/a
F•••••••• A•••••••• W••••• M••••••••• L••	n/a	Former SEC adviser	$0	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Vancouver	Wa	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 2023	n/a	n/a	8	3	1	n/a	n/a
2021	Mar 31, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	n/a	n/a	n/a	n/a	8	9	1	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Mar 2, 2017	Jan 28, 2014	GOLDEN VALLEY, MN	Team lift out	Other	0.0%
L•• F•••••••• L••	2	Mar 2, 2017	Jan 28, 2014

Relationships

Affiliated with (3)

→ F•••••••• A•••••••• I••••••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ F•••••••• A•••••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← F•••••••• A•••••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← C•••••••• G•••• R••

Dated events

Occurred
Aug 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 17, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 23, 2022
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3e1630d-181c-aefe-3107-c1855ec38332
First observed: May 23, 2017
Last observed: Mar 31, 2023 42 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.

Registered with (33)

← G••• RAY C•••••••Advisorregistration: previous registration
Oct 1, 2008 to Aug 17, 2023factForm ADV
← A••••• E••••• V••••Advisorregistration: previous registration
Mar 5, 2012 to Aug 17, 2023factForm ADV
← WALTER DAVID WARRENAdvisorregistration: previous registration
Mar 5, 2012 to Aug 17, 2023factForm ADV
← BRUCE BRUNDIGEAdvisorregistration: previous registration
Apr 9, 2009 to Jun 23, 2022factForm ADV
← MICHAEL WILLIAM GRAYAdvisorregistration: previous registration
Apr 20, 2010 to Aug 5, 2020factForm ADV
← CHRISTOPHER TRAVIS GRAYAdvisorregistration: previous registration
Apr 20, 2010 to Aug 5, 2020factForm ADV
← KERRY LANE DYERAdvisorregistration: previous registration
Apr 20, 2010 to Aug 5, 2020factForm ADV
← Brenda Michelle BrownAdvisorregistration: previous registration
Mar 5, 2012 to Apr 6, 2018factForm ADV
← MICHAEL ROBERT BURGOYNEAdvisorregistration: previous registration
Oct 2, 2013 to May 23, 2016factForm ADV
← JAMES DEAN MCDONALDAdvisorregistration: previous registration
Jan 28, 2014 to Dec 31, 2014factForm ADV
← Steven Donald WoodleyAdvisorregistration: previous registration
Jan 28, 2014 to Dec 31, 2014factForm ADV
← MATTHEW JAMES GULSETHAdvisorregistration: previous registration
Jan 28, 2014 to Dec 31, 2014factForm ADV
← DANIEL ROBERT STEWARTAdvisorregistration: previous registration
Jan 28, 2014 to Dec 31, 2014factForm ADV
← Joshua Lin WolbergAdvisorregistration: previous registration
Jan 28, 2014 to Dec 31, 2014factForm ADV
← Daniel John MurphyAdvisorregistration: previous registration
Feb 6, 2014 to Dec 31, 2014factForm ADV
← LEE STANLEY MARTINAdvisorregistration: previous registration
Dec 10, 2010 to Dec 23, 2013factForm ADV
← TIFFANY ELISE COTEAdvisorregistration: previous registration
Mar 5, 2012 to Dec 23, 2013factForm ADV
← JAMES MATTHIAS ZWICKERTAdvisorregistration: previous registration
Sep 9, 2009 to Dec 20, 2013factForm ADV
← CHARLES BRETT LEWISAdvisorregistration: previous registration
Feb 23, 2009 to Mar 31, 2011factForm ADV
← BRIAN KEVIN KERRIGANAdvisorregistration: previous registration
Oct 5, 2009 to Mar 31, 2011factForm ADV
← BRIAN GEORGE LOCKEAdvisorregistration: previous registration
Jul 20, 2009 to Mar 31, 2011factForm ADV
← WILLIAM GRANT CRAIGAdvisorregistration: previous registration
Oct 1, 2008 to Mar 31, 2011factForm ADV
← DEATRA JEANNE HARRINGTONAdvisorregistration: previous registration
Oct 12, 2009 to Mar 31, 2011factForm ADV
← MARK RANDALL MAGERAdvisorregistration: previous registration
Oct 1, 2008 to Mar 31, 2011factForm ADV
← RONALD LEE GEERAdvisorregistration: previous registration
Apr 19, 2010 to Mar 31, 2011factForm ADV
← MICHAEL BARRY RACKNERAdvisorregistration: previous registration
Jul 8, 2009 to Mar 31, 2011factForm ADV
← KENNETH THOMAS LUBKOWSKIAdvisorregistration: previous registration
Jul 20, 2009 to Mar 31, 2011factForm ADV
← Michael Patrick BattAdvisorregistration: previous registration
Jul 20, 2010 to Mar 31, 2011factForm ADV
← CHRISTOPHER JOHN NIEMELAAdvisorregistration: previous registration
Jul 30, 2010 to Mar 31, 2011factForm ADV
← SHARLA RAE CAMERONAdvisorregistration: previous registration
Oct 1, 2008 to Mar 31, 2011factForm ADV
and 3 more