DFX Intelligence

C••••• P•••• G••••• C•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

C••••• P•••• G••••• C•••••• L••

CRD 330018

CLYDE HILL, WA

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Search this name across graphsid dfx:ria:e524bee5-370b-1419-9755-82af3f4810b1

Data as of Jul 12, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 24, 2024 to Jul 12, 2024
4 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: $24.4M••• Locked
Discretionary RAUM: $24.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• G••••• C•••••• L••	Manager	E	yes	12/2023	Jan 24, 2024	Jul 12, 2024
R•••••• C••••• J•	MANAGING MEMBER	E	yes	12/2023	Jan 24, 2024	Jul 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R• C•••• G••••• C•••••• I•••	n/a	Former SEC adviser	$25.2M	N	yes	n/a

Relationships

Affiliated with (1)

→ R• C•••• G••••• C•••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Owns (1)

← S••••••••• G•••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 24, 2024 to presentfactForm ADV

Controls (2)

← R•••••• C••••• J•OwnerMANAGING MEMBER, ownership code E, individual
Jan 24, 2024 to presentfactForm ADV
←

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$24.4M
Occurred
Jan 24, 2024
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e524bee5-370b-1419-9755-82af3f4810b1
First observed: Jan 24, 2024
Last observed: Jul 12, 2024 26 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.