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
C••••••••• M••••••••• C••• I•••
Latest filing Mar 17, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Apr 27, 1987
RAUM
$4.7B
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$4.7B as of Mar 17, 2026
Mar 30, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 17, 2026
Mar 28, 20131 then
Private funds8 as of Mar 17, 2026
Mar 30, 20124 then
RAUM +14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; 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
- $360MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $781M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.9B83%
- Pooled investment vehicles$781M17%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $781M for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• D••••••••• S••••••••• F•••• L•• | Hedge Fund | $166M | 61 | Mar 17, 2022 |
| C••••••••• P•••••• O••••••••• F••• V• L••• | Private Equity Fund | $156M | 78 | Mar 31, 2015 |
| C••••••••• P•••••• O••••••••• F••• V•• L••• | Private Equity Fund | $132M | 77 | Mar 20, 2018 |
| C••••••••• P•••••• O••••••••• F••• V•••• L•• | Private Equity Fund | $113M | 88 | Mar 23, 2023 |
| C••••••••• P•••••• O••••••••• F••• V••• L•• | Private Equity Fund | $88.1M | 59 | Mar 25, 2021 |
| C••••••••• O••••••••• F•••• L••• | Hedge Fund | $57.7M | 70 | Mar 20, 2018 |
| C••••••••• P•••••• O••••••••• F••• I•• L•••no longer reported | Private Equity Fund | $55.7M | 82 | Mar 30, 2012 |
| C••••••••• P•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $50.1M | 76 | Mar 30, 2012 |
| C••••••••• P•••••• O••••••••• F••• I••• L••• | Private Equity Fund | $19.7M | 94 | Mar 30, 2012 |
| C••••••••• P•••••• O••••••••• F•••• L•no longer reported | Private Equity Fund | $10.3M | 48 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• S•••••• B•••••• · Directorcontrolsince 03/2000 · owns 10% to 25%
- C••••••••• C••••••••• B••••• · Director, Vice President And Secretarycontrolsince 03/2013 · owns 10% to 25%
- D••• V•••••• W••••••••• · Directorcontrolsince 09/2014 · owns 10% to 25%
- D•••••••• W••••••• L•••••• · Chairman, President, Treasurer And Directorcontrolsince 09/2015 · owns 10% to 25%
- H•••••• E••••••••• D••••••• · Directorcontrolsince 03/1995 · owns 10% to 25%
- M••••••••• R••••••• W• · Directorcontrolsince 12/2018 · owns 10% to 25%
- P•••••••• F••••• W••••••••• · Directorcontrolsince 12/1992 · owns 10% to 25%
- S•••••• M••••••• J••• · Directorcontrolsince 12/2017 · owns 10% to 25%
- T••••••• D•••••• L••••• · Directorcontrolsince 12/2022 · owns 10% to 25%
- W••••••••• C••••••••• L••• · Directorcontrolsince 06/1999 · owns 10% to 25%
- D••••• M••••••• M••••••••• · Director, Non-Votingsince 03/2021 · owns less than 5%
- M•••••••• J••••• K•••• · Chief Compliance Officersince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Tacoma, WA1 employees
What changed
consecutive filings, newest first
- Assets in custody · $783M to $781MJun 24, 2025 to Mar 17, 2026
- Discretionary RAUM · $4.1B to $4.7BJun 24, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $783M to $781MJun 24, 2025 to Mar 17, 2026
- RAUM · $4.1B to $4.7BJun 24, 2025 to Mar 17, 2026
- Financial planning clients · unset to Mar 11, 2025 to Jun 24, 2025
- Assets in custody · $783M to $783MFeb 7, 2025 to Mar 11, 2025
- Discretionary RAUM · $3.8B to $4.1BFeb 7, 2025 to Mar 11, 2025
- Pooled vehicle RAUM · $783M to $783MFeb 7, 2025 to Mar 11, 2025
- RAUM · $3.8B to $4.1BFeb 7, 2025 to Mar 11, 2025
- Accounts · 12 to 13Mar 23, 2023 to Mar 25, 2024
- Pooled vehicle clients · 8 to 9Mar 23, 2023 to Mar 25, 2024
- Assets in custody · $662M to $783MMar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $3.2B to $3.8BMar 23, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $662M to $783MMar 23, 2023 to Mar 25, 2024
- RAUM · $3.2B to $3.8BMar 23, 2023 to Mar 25, 2024
- Accounts · 11 to 12Dec 19, 2022 to Mar 23, 2023
- Pooled vehicle clients · 7 to 8Dec 19, 2022 to Mar 23, 2023
- Assets in custody · $683M to $662MDec 19, 2022 to Mar 23, 2023
- Private funds · 7 to 8Dec 19, 2022 to Mar 23, 2023
- Discretionary RAUM · $3.9B to $3.2BDec 19, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $683M to $662MDec 19, 2022 to Mar 23, 2023
- RAUM · $3.9B to $3.2BDec 19, 2022 to Mar 23, 2023
- Assets in custody · $523M to $683MJul 1, 2021 to Mar 17, 2022
- Private funds · 6 to 7Jul 1, 2021 to Mar 17, 2022
- Discretionary RAUM · $3.1B to $3.9BJul 1, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $524M to $683MJul 1, 2021 to Mar 17, 2022
- RAUM · $3.1B to $3.9BJul 1, 2021 to Mar 17, 2022
- Accounts · 10 to 11Feb 28, 2020 to Mar 25, 2021
- Pooled vehicle clients · 6 to 7Feb 28, 2020 to Mar 25, 2021
- Assets in custody · $444M to $523MFeb 28, 2020 to Mar 25, 2021
- Private funds · 5 to 6Feb 28, 2020 to Mar 25, 2021
- Discretionary RAUM · $2.7B to $3.1BFeb 28, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $492M to $524MFeb 28, 2020 to Mar 25, 2021
- RAUM · $2.7B to $3.1BFeb 28, 2020 to Mar 25, 2021
- Assets in custody · $467M to $444MMar 1, 2019 to Feb 28, 2020
- Discretionary RAUM · $2.3B to $2.7BMar 1, 2019 to Feb 28, 2020
- Pooled vehicle RAUM · $511M to $492MMar 1, 2019 to Feb 28, 2020
- RAUM · $2.3B to $2.7BMar 1, 2019 to Feb 28, 2020
- Assets in custody · $430M to $467MDec 14, 2018 to Mar 1, 2019
- Discretionary RAUM · $2.6B to $2.3BDec 14, 2018 to Mar 1, 2019
Signals
3 dated events
- Cromelin Daniel Titcomb (Director) no longer on Schedule A of C••••••••• M••••••••• C••• I••• (listed 2022-06-29, absent 2022-12-19)Dec 19, 2022 · Control person left · inference
- Leslie Daniel Titcomb (Director) appeared on Schedule A of C••••••••• M••••••••• C••• I•••Dec 19, 2022 · Control person joined · fact
- C••••••••• M••••••••• C••• I••• reported RAUM $3.9B, up 27% from $3.1B (2021-07-01 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••••••• M••••••••• C••• I••• · Independent Sponsorsshared crd · capital_provider
- C••••••••• M••••••••• C••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 651-228-0935reportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda 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