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

C•••••• P••••••• C•••

Former SEC-registered adviserBellevue, WashingtonCRD 105013SEC 801-19781IAPD
Latest filing Oct 31, 2013
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$305M
reported, Item 5.F
Discretionary
92%
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
10
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$305M as of Mar 25, 2013
Mar 28, 2012$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2013
Mar 28, 20120 then
Employees (5.A): 10
Private funds: no history
RAUM +20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 31, 2013; 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
$193,328derivedRAUM over accounts (5.F.2.f)
Discretionary
92%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
+20%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
1,580reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• J••••• E••• · President, Chief Operating Officercontrol
    since 05/2005 · owns less than 5%
  • M•••••• M••••••• D•••••• · Chairman, Chief Executive Officer, Chief Compliance Officercontrol
    since 10/2004 · owns 75% or more
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 · 1,200 to 1,580
    Dec 6, 2012 to Mar 25, 2013
  • Advisory employees · 10 to 9
    Dec 6, 2012 to Mar 25, 2013
  • Discretionary RAUM · $232M to $281M
    Dec 6, 2012 to Mar 25, 2013
  • Non-discretionary RAUM · $22.7M to $24.5M
    Dec 6, 2012 to Mar 25, 2013
  • RAUM · $254M to $305M
    Dec 6, 2012 to Mar 25, 2013
  • Advisory employees · unset to 10.0
    Mar 30, 2012 to Dec 6, 2012
  • Employees · unset to 10.0
    Mar 30, 2012 to Dec 6, 2012
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