DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
L••••••• A••••••• I••
Latest filing Apr 14, 2026
First filing on the tape Mar 7, 2012 · 21 filings
SEC status approved since May 10, 1984
RAUM
$412M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$396M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$412M as of Apr 14, 2026
Mar 7, 2012$186M then
HNW client RAUM$324M as of Apr 14, 2026
Apr 30, 2018$210M then
State-registered IARs (5.B.3)3 as of Apr 14, 2026
Mar 7, 20120 then
Employees (5.A)4 as of Apr 14, 2026
Apr 26, 20134 then
Private funds: no history
RAUM +7.0% over the last fiscal year+2.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $797,362derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$324M79%
- Individuals$71.9M17%
- Pension and profit-sharing plans$12.7M3.1%
- Charitable organizations$3.3M0.8%
- Corporations and businesses$231,6230.1%
- Individual clients
- 112reported
- HNW clients
- 95reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 517reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E•••••• F••• | Seattle, Wa | Sep 24, 1984 | 54 y | 2 |
| K••••• A•• M••••Certified Financial Planner | Seattle, Wa | Nov 22, 2005 | 43 y | 1 |
| M••• O•••••••••Chartered Financial Analyst | Seattle, Wa | May 24, 2012 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• R•••••• E•••••• · President / Chief Compliance Officer / Treasurercontrolsince 01/1984 · owns 75% or more
- M••••• K•••••• A•• · Vice President / Secretarycontrolsince 02/2005 · owns less than 5%
- O••••••••• M••• · Vice Presidentcontrolsince 11/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $385M to $412MApr 17, 2025 to Apr 14, 2026
- Accounts · 536 to 517Apr 17, 2025 to Apr 14, 2026
- Corporate clients · 2 to 1Apr 17, 2025 to Apr 14, 2026
- HNW clients · 99 to 95Apr 17, 2025 to Apr 14, 2026
- Individual clients · 118 to 112Apr 17, 2025 to Apr 14, 2026
- Discretionary RAUM · $375M to $401MApr 17, 2025 to Apr 14, 2026
- HNW RAUM · $305M to $324MApr 17, 2025 to Apr 14, 2026
- Individual RAUM · $65.2M to $71.9MApr 17, 2025 to Apr 14, 2026
- Non-discretionary RAUM · $10.5M to $11.1MApr 17, 2025 to Apr 14, 2026
- Pension RAUM · $11.6M to $12.7MApr 17, 2025 to Apr 14, 2026
- Accounts · 580 to 536Apr 11, 2024 to Apr 17, 2025
- HNW clients · 107 to 99Apr 11, 2024 to Apr 17, 2025
- Financial planning clients · 101-250 to 101-250Apr 11, 2024 to Apr 17, 2025
- Discretionary RAUM · $365M to $375MApr 11, 2024 to Apr 17, 2025
- HNW RAUM · $301M to $305MApr 11, 2024 to Apr 17, 2025
- Individual RAUM · $60.1M to $65.2MApr 11, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $10.9M to $10.5MApr 11, 2024 to Apr 17, 2025
- Pension RAUM · $11.8M to $11.6MApr 11, 2024 to Apr 17, 2025
- RAUM · $376M to $385MApr 11, 2024 to Apr 17, 2025
- Accounts · 620 to 580Apr 13, 2023 to Apr 11, 2024
- HNW clients · 111 to 107Apr 13, 2023 to Apr 11, 2024
- Individual clients · 127 to 118Apr 13, 2023 to Apr 11, 2024
- Discretionary RAUM · $337M to $365MApr 13, 2023 to Apr 11, 2024
- HNW RAUM · $279M to $301MApr 13, 2023 to Apr 11, 2024
- Individual RAUM · $54.4M to $60.1MApr 13, 2023 to Apr 11, 2024
- Non-discretionary RAUM · $9.6M to $10.9MApr 13, 2023 to Apr 11, 2024
- Pension RAUM · $10.3M to $11.8MApr 13, 2023 to Apr 11, 2024
- RAUM · $347M to $376MApr 13, 2023 to Apr 11, 2024
- Accounts · 642 to 620Apr 7, 2022 to Apr 13, 2023
- Charity clients · 4 to 3Apr 7, 2022 to Apr 13, 2023
- HNW clients · 117 to 111Apr 7, 2022 to Apr 13, 2023
- Individual clients · 131 to 127Apr 7, 2022 to Apr 13, 2023
- Discretionary RAUM · $369M to $337MApr 7, 2022 to Apr 13, 2023
- HNW RAUM · $305M to $279MApr 7, 2022 to Apr 13, 2023
- Individual RAUM · $57.6M to $54.4MApr 7, 2022 to Apr 13, 2023
- Non-discretionary RAUM · $11.0M to $9.6MApr 7, 2022 to Apr 13, 2023
- Pension RAUM · $13.5M to $10.3MApr 7, 2022 to Apr 13, 2023
- RAUM · $380M to $347MApr 7, 2022 to Apr 13, 2023
- Accounts · 605 to 642Apr 16, 2021 to Apr 7, 2022
- Corporate clients · 1 to 2Apr 16, 2021 to Apr 7, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- b••@l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-285-1730reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-267-2316reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-285-1730reportedpublic record, Form ADV, Apr 14, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026