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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SEC-registered adviser
W••••••• I••••••••• M••••••••• C•
Legal name W••••••• I••••••••• M••••••••• C••••••
Latest filing Mar 6, 2026
First filing on the tape Feb 27, 2012 · 16 filings
SEC status approved since Dec 18, 2020
RAUM
$252M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$179M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$252M as of Mar 6, 2026
Feb 27, 2012$70.7M then
HNW client RAUM$144M as of Mar 6, 2026
Feb 24, 2021$80.6M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Feb 27, 20120 then
Employees (5.A)5 as of Mar 6, 2026
Feb 24, 20214 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $63.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.9M, 161 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M57%
- Charitable organizations$73.4M29%
- Individuals$34.5M14%
- Individual clients
- 96reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 161reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9M for 161 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F•••••••• R••• | Bellingham, Wa | Dec 1, 1991 | 43 y | 0 |
| L••••• H••••••• H••••• | Bellingham, Wa | Feb 15, 2013 | 26 y | 0 |
| D•••• G••••••• S•••••••• | Bellingham, Wa | Apr 4, 2014 | 19 y | 0 |
| L••• M•••••• | Bellingham, Wa | Sep 18, 2025 | 10 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• L•••••• H••••••• · President & Chief Compliance Officercontrolsince 07/2017 · owns 50% to 75%
- S••••••••• D••••• G••••••• · Vice Presidentcontrolsince 08/2018 · 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 |
|---|---|---|---|---|---|
| Bellingham, Wa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 6, 2026accounts (Item 5.F.2.f) moved from 334.0 to 161.0 (-52.0%) between the annual amendments of 2025-02-25 and 2026-03-06; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.8% percentile
What changed
consecutive filings, newest first
- Accounts · 334 to 161Feb 25, 2025 to Mar 6, 2026
- Advisory employees · 2 to 3Feb 25, 2025 to Mar 6, 2026
- BD registered reps · 2 to 0Feb 25, 2025 to Mar 6, 2026
- Charity clients · 15 to 14Feb 25, 2025 to Mar 6, 2026
- HNW clients · 54 to 50Feb 25, 2025 to Mar 6, 2026
- Individual clients · 87 to 96Feb 25, 2025 to Mar 6, 2026
- Assets in custody · $1.4M to $1.9MFeb 25, 2025 to Mar 6, 2026
- Employees · 4 to 5Feb 25, 2025 to Mar 6, 2026
- State-registered IARs · 2 to 3Feb 25, 2025 to Mar 6, 2026
- Discretionary RAUM · $215M to $252MFeb 25, 2025 to Mar 6, 2026
- HNW RAUM · $124M to $144MFeb 25, 2025 to Mar 6, 2026
- Individual RAUM · $30.6M to $34.5MFeb 25, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $2.1M to $0Feb 25, 2025 to Mar 6, 2026
- RAUM · $217M to $252MFeb 25, 2025 to Mar 6, 2026
- Accounts · 149 to 334Mar 15, 2024 to Feb 25, 2025
- BD registered reps · 0 to 2Mar 15, 2024 to Feb 25, 2025
- Charity clients · 14 to 15Mar 15, 2024 to Feb 25, 2025
- HNW clients · 56 to 54Mar 15, 2024 to Feb 25, 2025
- Individual clients · 79 to 87Mar 15, 2024 to Feb 25, 2025
- Assets in custody · $3.7M to $1.4MMar 15, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Feb 25, 2025
- Discretionary RAUM · $195M to $215MMar 15, 2024 to Feb 25, 2025
- HNW RAUM · $121M to $124MMar 15, 2024 to Feb 25, 2025
- Individual RAUM · $21.2M to $30.6MMar 15, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $0 to $2.1MMar 15, 2024 to Feb 25, 2025
- RAUM · $195M to $217MMar 15, 2024 to Feb 25, 2025
- Accounts · 333 to 149Mar 8, 2023 to Mar 15, 2024
- Advisory activities · 5 to 2Mar 8, 2023 to Mar 15, 2024
- Charity clients · 11 to 14Mar 8, 2023 to Mar 15, 2024
- HNW clients · 45 to 56Mar 8, 2023 to Mar 15, 2024
- Individual clients · 93 to 79Mar 8, 2023 to Mar 15, 2024
- Assets in custody · $21.4M to $3.7MMar 8, 2023 to Mar 15, 2024
- State-registered IARs · 0 to 2Mar 8, 2023 to Mar 15, 2024
- Discretionary RAUM · $153M to $195MMar 8, 2023 to Mar 15, 2024
- HNW RAUM · $95.4M to $121MMar 8, 2023 to Mar 15, 2024
- Individual RAUM · $32.8M to $21.2MMar 8, 2023 to Mar 15, 2024
- RAUM · $153M to $195MMar 8, 2023 to Mar 15, 2024
- Accounts · 313 to 333Mar 4, 2022 to Mar 8, 2023
- Charity clients · 10 to 11Mar 4, 2022 to Mar 8, 2023
- HNW clients · 47 to 45Mar 4, 2022 to Mar 8, 2023
Signals
4 dated events
- W••••••• I••••••••• M••••••••• C• filed its initial SEC registration (Form ADV)Nov 19, 2020 · First SEC registration · fact
- Frederick Michael Ryan (President/Chief Compliance Officer) no longer on Schedule A of W••••••• I••••••••• M••••••••• C• (listed 2012-06-22, absent 2020-11-19)Nov 19, 2020 · Control person left · inference
- Arnold Barbara Ryan (Secretary/Treasurer) no longer on Schedule A of W••••••• I••••••••• M••••••••• C• (listed 2012-06-22, absent 2020-11-19)Nov 19, 2020 · Control person left · inference
- Geoffrey David Schneider (Vice President) appeared on Schedule A of W••••••• I••••••••• M••••••••• C•Nov 19, 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.
How to reach
public business contact points only, each with its source
- Business email
- w•••••••@w•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 360-671-8936reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 360-671-0148reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-292-8794reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-671-0148reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- w•••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $63.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026