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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Former SEC-registered adviser

E••• A•••• M••••••••• I•••

Former SEC-registered adviserSeattle, WashingtonCRD 104565SEC 801-4855IAPD
Latest filing Feb 17, 2017
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$33B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
34
22 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$31B as of Jan 11, 2017
Mar 30, 2012$22B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 11, 2017
Mar 28, 20135 then
Employees (5.A)33 as of Jan 11, 2017
Mar 28, 201331 then
Private funds: no history
RAUM +18% over the last fiscal year+8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$5.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6,100reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• J••• · Chief Financial Officercontrol
    since 03/2007 · owns less than 5%
  • J••••••••• T•••• A• · Directorcontrol
    since 02/2017 · owns less than 5%
  • K••• C••••• M••••• · Chief Compliance Officercontrol
    since 11/2010 · owns less than 5%
  • M••••••••• J••••• P•••••• · Chairmancontrol
    since 01/2007 · owns less than 5%
  • M•••••••• B•••••• · Directorcontrol
    since 01/2011 · owns less than 5%
  • S••••••• D••••• · Directorcontrol
    since 03/2015 · owns less than 5%
Entity owners
  • P•••••••• M••••••••• C••• · Parent
    direct · owns 75% or more
  • P•••••••• F•••••••• G••••• I••• · 100% Stockholder
    indirect · owns 75% or more of P•••••••• F•••••••• S•••••••• I••• · public reporting company
  • P•••••••• F•••••••• S•••••••• I••• · 100% Stockholder
    indirect · owns 75% or more of P•••••••• M••••••••• C•••Oration · public reporting company
Related persons
Schedule D 7.A
Advisers that list E••• A•••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 4,000 to 6,100
    Jan 11, 2017 to Feb 17, 2017
  • Advisory employees · 23 to 22
    Jan 11, 2017 to Feb 17, 2017
  • Employees · 33 to 34
    Jan 11, 2017 to Feb 17, 2017
  • Discretionary RAUM · $31B to $33B
    Jan 11, 2017 to Feb 17, 2017
  • RAUM · $31B to $33B
    Jan 11, 2017 to Feb 17, 2017
  • Employees · 34 to 33
    Mar 24, 2016 to Nov 15, 2016
  • Discretionary RAUM · $28B to $31B
    Mar 24, 2016 to Nov 15, 2016
  • RAUM · $28B to $31B
    Mar 24, 2016 to Nov 15, 2016
  • Accounts · 3,700 to 4,000
    Aug 18, 2015 to Mar 24, 2016
  • Advisory employees · 24 to 23
    Aug 18, 2015 to Mar 24, 2016
  • Employees · 36 to 34
    Aug 18, 2015 to Mar 24, 2016
  • State-registered IARs · 5 to 0
    Aug 18, 2015 to Mar 24, 2016
  • Discretionary RAUM · $30B to $28B
    Aug 18, 2015 to Mar 24, 2016
  • RAUM · $30B to $28B
    Aug 18, 2015 to Mar 24, 2016
  • Accounts · 3,400 to 3,700
    Mar 27, 2015 to Aug 14, 2015
  • Advisory employees · 23 to 24
    Mar 27, 2015 to Aug 14, 2015
  • Employees · 34 to 36
    Mar 27, 2015 to Aug 14, 2015
  • Discretionary RAUM · $29B to $30B
    Mar 27, 2015 to Aug 14, 2015
  • RAUM · $29B to $30B
    Mar 27, 2015 to Aug 14, 2015
  • Accounts · 1,977 to 3,400
    Sep 17, 2014 to Mar 27, 2015
  • Advisory employees · 22 to 23
    Sep 17, 2014 to Mar 27, 2015
  • Employees · 33 to 34
    Sep 17, 2014 to Mar 27, 2015
  • Discretionary RAUM · $28B to $29B
    Sep 17, 2014 to Mar 27, 2015
  • RAUM · $28B to $29B
    Sep 17, 2014 to Mar 27, 2015
  • Accounts · 1,153 to 1,977
    Mar 31, 2014 to Sep 16, 2014
  • Employees · 32 to 33
    Mar 31, 2014 to Sep 16, 2014
  • Discretionary RAUM · $26B to $28B
    Mar 31, 2014 to Sep 16, 2014
  • RAUM · $26B to $28B
    Mar 31, 2014 to Sep 16, 2014
  • Accounts · 29 to 1,153
    Nov 1, 2013 to Mar 31, 2014
  • Advisory activities · 4 to 6
    Nov 1, 2013 to Mar 31, 2014
  • Discretionary RAUM · $24B to $26B
    Nov 1, 2013 to Mar 31, 2014
  • RAUM · $24B to $26B
    Nov 1, 2013 to Mar 31, 2014
  • Advisory employees · 21 to 22
    Jul 17, 2013 to Oct 31, 2013
  • BD registered reps · 3 to 0
    Jul 17, 2013 to Oct 31, 2013
  • Discretionary RAUM · $23B to $24B
    Jul 17, 2013 to Oct 31, 2013
  • RAUM · $23B to $24B
    Jul 17, 2013 to Oct 31, 2013
  • Accounts · 26 to 29
    May 20, 2013 to Jul 17, 2013
  • Employees · 30 to 32
    May 20, 2013 to Jul 17, 2013
  • Discretionary RAUM · $23B to $23B
    May 20, 2013 to Jul 17, 2013
  • RAUM · $23B to $23B
    May 20, 2013 to Jul 17, 2013
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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026