DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••••• S••••••••• I••
Latest filing Aug 20, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Mar 15, 1983
RAUM
$50.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$41.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$16.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$50.2M as of Aug 20, 2026
Mar 30, 2012$229M then
HNW client RAUM$5.1M as of Aug 20, 2026
Mar 30, 2018$10.5M then
State-registered IARs (5.B.3)3 as of Aug 20, 2026
Apr 1, 20134 then
Employees (5.A)4 as of Aug 20, 2026
Apr 1, 20138 then
Private funds: no history
RAUM -9.4% over the last fiscal year-12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $16.7MderivedRAUM 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
- $169,068derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$36.7M73%
- Other investment advisers$8.3M17%
- High-net-worth individuals$5.1M10%
- Corporations and businesses$127,4840.3%
- Individual clients
- 289reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 297reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.17 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• J•••• J••••••• | Tacoma, Wa | Sep 8, 1992 | 39 y | 3 |
| A••••• D•••• M•••••••• | Sammanish, Wa | Dec 4, 2014 | 34 y | 2 |
| M••••••• R••• H•••••• | Tacoma, Wa | Aug 16, 2016 | 34 y | 1 |
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
- J••• D•••••••• W••••••••• to F•••• I••••••••• N•• I•••Jan 18, 2023 · Other
- J•••••• J••• C•••••••• to K•• F•••••••• S•••••••• I••Mar 25, 2010 · Other
- A••••• D•••• M•••••••• to P•••••• A••••••• S•••••••• L••Mar 25, 2010 · Other
- M•••••• D••• T••••• to T•• A•••••••• I•••Mar 19, 2008 · Other
- J•••••• R••••• V•• R• to E•••••• A••••••• G••••• L••Nov 6, 2007 · Other
- J•••••• G••••• K•••• to C••••••• M••••••••• I••••••••• A•••••••• L••Feb 23, 2007 · Other
Joined, latest
- M••••••• R••• H•••••• from C••• F•••••••• S•••••••• L•••Aug 16, 2016 · Other
- A••••• D•••• M•••••••• from P•••••• A••••••• S•••••••• L••Dec 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• L••••••• E••••• · Chief Financial Officercontrolsince 01/2010 · owns less than 5%
- J•••••••• D••••• J•••• · Chief Compliance Officer/Chief Executive Officercontrolsince 01/2009 · owns 50% to 75%
- W••••••••• J•••• D•••••••• · Ownercontrolsince 03/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Tacoma, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 5 to 4Mar 30, 2026 to Jul 2, 2026
- Accounts · 354 to 297May 5, 2025 to Mar 30, 2026
- Individual clients · 354 to 289May 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $55.4M to $50.2MMay 5, 2025 to Mar 30, 2026
- HNW RAUM · $5.2M to $5.1MMay 5, 2025 to Mar 30, 2026
- Individual RAUM · $39.7M to $36.7MMay 5, 2025 to Mar 30, 2026
- RAUM · $55.4M to $50.2MMay 5, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 5, 2025
- Accounts · 383 to 354Apr 29, 2024 to Mar 25, 2025
- BD registered reps · 1 to 0Apr 29, 2024 to Mar 25, 2025
- Individual clients · 376 to 354Apr 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $59.5M to $55.4MApr 29, 2024 to Mar 25, 2025
- HNW RAUM · $5.0M to $5.2MApr 29, 2024 to Mar 25, 2025
- Individual RAUM · $40.9M to $39.7MApr 29, 2024 to Mar 25, 2025
- RAUM · $59.5M to $55.4MApr 29, 2024 to Mar 25, 2025
- Accounts · 520 to 383Dec 26, 2023 to Mar 26, 2024
- Advisory activities · 3 to 2Dec 26, 2023 to Mar 26, 2024
- Corporate clients · 12.0 to unsetDec 26, 2023 to Mar 26, 2024
- Individual clients · 500 to 376Dec 26, 2023 to Mar 26, 2024
- Discretionary RAUM · $73.0M to $59.5MDec 26, 2023 to Mar 26, 2024
- HNW RAUM · $5.4M to $5.0MDec 26, 2023 to Mar 26, 2024
- Individual RAUM · $43.0M to $40.9MDec 26, 2023 to Mar 26, 2024
- RAUM · $73.0M to $59.5MDec 26, 2023 to Mar 26, 2024
- Accounts · 547 to 520Dec 8, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Dec 8, 2022 to Mar 30, 2023
- BD registered reps · 2 to 1Dec 8, 2022 to Mar 30, 2023
- Corporate clients · unset to 12.0Dec 8, 2022 to Mar 30, 2023
- Individual clients · 444 to 500Dec 8, 2022 to Mar 30, 2023
- Employees · 7 to 5Dec 8, 2022 to Mar 30, 2023
- State-registered IARs · 4 to 3Dec 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $94.3M to $73.0MDec 8, 2022 to Mar 30, 2023
- HNW RAUM · $5.8M to $5.4MDec 8, 2022 to Mar 30, 2023
- Individual RAUM · $49.1M to $43.0MDec 8, 2022 to Mar 30, 2023
- Pension RAUM · 89384.0 to unsetDec 8, 2022 to Mar 30, 2023
- RAUM · $94.3M to $73.0MDec 8, 2022 to Mar 30, 2023
- Accounts · 776 to 547Mar 25, 2021 to Mar 30, 2022
- HNW clients · 6.0 to unsetMar 25, 2021 to Mar 30, 2022
- Individual clients · 765 to 444Mar 25, 2021 to Mar 30, 2022
- Employees · 8 to 7Mar 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $123M to $94.3MMar 25, 2021 to Mar 30, 2022
Signals
1 dated events
- J••• D•••••••• W••••••••• left P•••••••• S••••••••• I•• for F•••• I••••••••• N•• I••• (registered 2006-03-21)Jan 18, 2023 · Advisor changed firm · fact
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 phone
- 800-959-2001reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 253-383-1033reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 253-383-1676reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/portfolio-strategiesreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w••.p••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 253-383-1676reportedpublic record, Form ADV, Aug 20, 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
- $16.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026