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.

Former SEC-registered adviser

Gw Capital Inc

Former SEC-registered adviserBellevue, WashingtonCRD 104698SEC 801-35777IAPD
Latest filing Feb 22, 2016
First filing on the tape Nov 15, 2011 · 15 filings
RAUM
$2.2B
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
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.2B as of Feb 22, 2016
Mar 23, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2016
Mar 23, 20120 then
Employees (5.A)12 as of Feb 22, 2016
Mar 28, 201315 then
Private funds: no history
RAUM -26% over the last fiscal year-2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2016; 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
$2.3MderivedRAUM 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
-26%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 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)
  • 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
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
927reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Steven Scott Mullet · Principal, Sr. Vice Presidentcontrol
      since 12/2005 · owns 10% to 25%
    • Ann Jennifer Ottosen · Chief Compliance Officer & General Counselcontrol
      since 07/2012 · owns less than 5%
    • Eaton Thomas Parkhurst · Principal, Sr. Vice Presidentcontrol
      since 12/2005 · owns 10% to 25%
    • Norman Guy Watanabe · Presidentcontrol
      since 12/1989 · owns 50% to 75%
    • Daniel Nicholas Brown · Vice President, Principal
      since 03/2014 · owns 5% to 10%
    • Gould Deshay Mccluskey · Vice President, Principal
      since 03/2014 · owns less than 5%
    • Touk Sinantha · Vice President, Principal
      since 03/2014 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 987 to 927
      Sep 4, 2015 to Feb 22, 2016
    • Employees · 14 to 12
      Sep 4, 2015 to Feb 22, 2016
    • Discretionary RAUM · $2.3B to $2.2B
      Sep 4, 2015 to Feb 22, 2016
    • RAUM · $2.3B to $2.2B
      Sep 4, 2015 to Feb 22, 2016
    • Accounts · 1,150 to 987
      Mar 27, 2015 to Sep 4, 2015
    • Advisory activities · 3 to 2
      Mar 27, 2015 to Sep 4, 2015
    • Employees · 15 to 14
      Mar 27, 2015 to Sep 4, 2015
    • Discretionary RAUM · $2.9B to $2.3B
      Mar 27, 2015 to Sep 4, 2015
    • RAUM · $2.9B to $2.3B
      Mar 27, 2015 to Sep 4, 2015
    • Accounts · 1,032 to 1,150
      Aug 1, 2014 to Mar 27, 2015
    • Discretionary RAUM · $2.9B to $2.9B
      Aug 1, 2014 to Mar 27, 2015
    • RAUM · $2.9B to $2.9B
      Aug 1, 2014 to Mar 27, 2015
    • Accounts · 701 to 1,032
      Mar 28, 2013 to Mar 26, 2014
    • Discretionary RAUM · $2.3B to $2.9B
      Mar 28, 2013 to Mar 26, 2014
    • RAUM · $2.3B to $2.9B
      Mar 28, 2013 to Mar 26, 2014
    • Accounts · 93 to 701
      Jan 23, 2013 to Mar 28, 2013
    • Discretionary RAUM · $2.0B to $2.3B
      Jan 23, 2013 to Mar 28, 2013
    • RAUM · $2.0B to $2.3B
      Jan 23, 2013 to Mar 28, 2013
    • Advisory employees · unset to 6.0
      Jul 31, 2012 to Dec 4, 2012
    • Employees · unset to 15.0
      Jul 31, 2012 to Dec 4, 2012
    • Accounts · 90 to 93
      Apr 19, 2012 to Jul 31, 2012
    • Discretionary RAUM · $2.0B to $2.0B
      Apr 19, 2012 to Jul 31, 2012
    • RAUM · $2.0B to $2.0B
      Apr 19, 2012 to Jul 31, 2012
    • Accounts · 86 to 90
      Dec 21, 2011 to Mar 23, 2012
    • Advisory activities · 2 to 3
      Dec 21, 2011 to Mar 23, 2012
    • Discretionary RAUM · $1.8B to $2.0B
      Dec 21, 2011 to Mar 23, 2012
    • RAUM · $1.8B to $2.0B
      Dec 21, 2011 to Mar 23, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 15, 2011 to Dec 21, 2011
    • Financial planning clients · 0 to unset
      Nov 15, 2011 to Dec 21, 2011
    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