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
O•••• I••••••••• A•••••••• L••
Legal name O•••• I••••••••• A••••••• L••
Latest filing Jun 9, 2025
First filing on the tape Feb 15, 2012 · 24 filings
SEC status approved since Feb 17, 1983
RAUM
$146M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$146M as of Jun 9, 2025
Feb 15, 2012$98.0M then
HNW client RAUM$103M as of Jun 9, 2025
Mar 28, 2018$91.5M then
State-registered IARs (5.B.3)2 as of Jun 9, 2025
Feb 15, 20120 then
Employees (5.A)2 as of Jun 9, 2025
Feb 7, 20134 then
Private funds: no history
RAUM +2.2% over the last fiscal year-0.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 9, 2025; every figure names its basis
- RAUM per advisor
- $73.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $444,196derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$103M71%
- Individuals$43.0M29%
- Individual clients
- 143reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 329reported
- Financial planning clients
- 0reported
- 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
Left, latest
- D••••• J••••• G•••••• to R•••••• J•••• • A••••••••• I•••Mar 17, 2025 · RIA to affiliated broker-dealer or bank
- A••••• K••••• to E••••• J••••Jun 27, 2019 · RIA to affiliated broker-dealer or bank
- C••••••• S•••• M••••••• to A••••• A•• P••••••• S•••••••Apr 13, 2016 · Other
Joined, latest
- C••••••• S•••• M••••••• from R• • R• R••••••••• S•••••••• I••Feb 23, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• D•••••• H•••• · Ceocontrolsince 01/1999 · owns 75% or more
- R•••••• H•••• S•••••• L••• · Chief Compliance Officercontrolsince 04/2020 · 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 |
|---|---|---|---|---|---|
| Bellevue, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · BELLEVUE to Feb 24, 2025 to Jun 9, 2025
- HQ state · WA to Feb 24, 2025 to Jun 9, 2025
- Accounts · 347 to 329Feb 9, 2024 to Feb 24, 2025
- HNW clients · 73 to 86Feb 9, 2024 to Feb 24, 2025
- Individual clients · 164 to 143Feb 9, 2024 to Feb 24, 2025
- Financial planning clients · unset to 0Feb 9, 2024 to Feb 24, 2025
- Discretionary RAUM · $141M to $143MFeb 9, 2024 to Feb 24, 2025
- HNW RAUM · $93.4M to $103MFeb 9, 2024 to Feb 24, 2025
- Individual RAUM · $49.6M to $43.0MFeb 9, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $2.0M to $3.0MFeb 9, 2024 to Feb 24, 2025
- RAUM · $143M to $146MFeb 9, 2024 to Feb 24, 2025
- Accounts · 248 to 347Feb 28, 2023 to Feb 9, 2024
- HNW clients · 80 to 73Feb 28, 2023 to Feb 9, 2024
- Individual clients · 162 to 164Feb 28, 2023 to Feb 9, 2024
- Financial planning clients · 0 to unsetFeb 28, 2023 to Feb 9, 2024
- Discretionary RAUM · $131M to $141MFeb 28, 2023 to Feb 9, 2024
- HNW RAUM · $89.7M to $93.4MFeb 28, 2023 to Feb 9, 2024
- Individual RAUM · $42.4M to $49.6MFeb 28, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $1.2M to $2.0MFeb 28, 2023 to Feb 9, 2024
- RAUM · $132M to $143MFeb 28, 2023 to Feb 9, 2024
- Accounts · 356 to 248Jan 3, 2023 to Feb 28, 2023
- Charity clients · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- Corporate clients · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- HNW clients · 122 to 80Jan 3, 2023 to Feb 28, 2023
- Individual clients · 132 to 162Jan 3, 2023 to Feb 28, 2023
- Pension plan clients · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- Pooled vehicle clients · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- Discretionary RAUM · $148M to $131MJan 3, 2023 to Feb 28, 2023
- HNW RAUM · $125M to $89.7MJan 3, 2023 to Feb 28, 2023
- Individual RAUM · $25.0M to $42.4MJan 3, 2023 to Feb 28, 2023
- Non-discretionary RAUM · $1.7M to $1.2MJan 3, 2023 to Feb 28, 2023
- Pension RAUM · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- Pooled vehicle RAUM · unset to 0.0Jan 3, 2023 to Feb 28, 2023
- RAUM · $150M to $132MJan 3, 2023 to Feb 28, 2023
- HQ city · SEATTLE to BELLEVUEMar 23, 2022 to Jan 3, 2023
- Accounts · 352 to 356Mar 15, 2021 to Mar 7, 2022
- HNW clients · 69 to 122Mar 15, 2021 to Mar 7, 2022
- Individual clients · 180 to 132Mar 15, 2021 to Mar 7, 2022
- Financial planning clients · 1-10 to 0Mar 15, 2021 to Mar 7, 2022
- Discretionary RAUM · $135M to $148MMar 15, 2021 to Mar 7, 2022
Signals
3 dated events
- O•••• I••••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $146.1M)Dec 20, 2025 · Left the SEC roster · derived
- D••••• J••••• G•••••• left O•••• I••••••••• A•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-03-20)Mar 17, 2025 · Advisor changed firm · fact
- Lynn Sheryl Reibman Hoyt (Chief Compliance Officer) appeared on Schedule A of O•••• I••••••••• A•••••••• L••Mar 25, 2020 · Control person joined · fact
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