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

A••••••••• B•••••• F•••••••• S••••••• I••

Former SEC-registered adviserBellevue, WashingtonCRD 105458SEC 801-22418IAPD
Latest filing Mar 16, 2017
First filing on the tape Mar 21, 2012 · 16 filings
RAUM
$311M
reported, Item 5.F
Discretionary
94%
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
13
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$311M as of Mar 16, 2017
Mar 21, 2012$361M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 16, 2017
Mar 25, 20138 then
Employees (5.A)13 as of Mar 16, 2017
Mar 25, 201319 then
Private funds: no history
RAUM +1.4% over the last fiscal year-4.4% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 16, 2017; every figure names its basis
RAUM per advisor
$62.2MderivedRAUM 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
$353,986derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 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 advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • 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
878reported
Financial planning clients
51-100reported
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
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
    • D••••••••• M•••••• D••••• · Directorcontrol
      since 02/2017 · owns less than 5%
    • J•••••• M•••• D••• · Chief Compliance Officercontrol
      since 02/2017 · owns less than 5%
    • P••••••• R•••••• M•••••• · Directorcontrol
      since 02/2017 · owns less than 5%
    • T••• A••••• · Presidentcontrol
      since 02/2017 · owns less than 5%
    • Y••••• B••••• M••••• · Directorcontrol
      since 02/2017 · owns less than 5%
    Entity owners
    • A••••••••• B•••••• H•••••••• I••• · Holding Company
      direct · 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 · 905 to 878
      Feb 26, 2016 to Mar 16, 2017
    • Advisory employees · 6 to 5
      Feb 26, 2016 to Mar 16, 2017
    • BD registered reps · 4 to 0
      Feb 26, 2016 to Mar 16, 2017
    • Employees · 14 to 13
      Feb 26, 2016 to Mar 16, 2017
    • State-registered IARs · 6 to 5
      Feb 26, 2016 to Mar 16, 2017
    • Discretionary RAUM · $287M to $293M
      Feb 26, 2016 to Mar 16, 2017
    • Non-discretionary RAUM · $20.0M to $18.2M
      Feb 26, 2016 to Mar 16, 2017
    • RAUM · $307M to $311M
      Feb 26, 2016 to Mar 16, 2017
    • Accounts · 956 to 905
      Mar 24, 2015 to Feb 26, 2016
    • Discretionary RAUM · $304M to $287M
      Mar 24, 2015 to Feb 26, 2016
    • Non-discretionary RAUM · $23.0M to $20.0M
      Mar 24, 2015 to Feb 26, 2016
    • RAUM · $327M to $307M
      Mar 24, 2015 to Feb 26, 2016
    • Accounts · 1,064 to 956
      Aug 28, 2014 to Mar 24, 2015
    • Advisory employees · 9 to 6
      Aug 28, 2014 to Mar 24, 2015
    • BD registered reps · 5 to 4
      Aug 28, 2014 to Mar 24, 2015
    • Employees · 18 to 14
      Aug 28, 2014 to Mar 24, 2015
    • State-registered IARs · 9 to 6
      Aug 28, 2014 to Mar 24, 2015
    • Discretionary RAUM · $328M to $304M
      Aug 28, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · $27.8M to $23.0M
      Aug 28, 2014 to Mar 24, 2015
    • RAUM · $356M to $327M
      Aug 28, 2014 to Mar 24, 2015
    • Accounts · 1,465 to 1,064
      Oct 25, 2013 to Mar 4, 2014
    • Advisory employees · 10 to 9
      Oct 25, 2013 to Mar 4, 2014
    • BD registered reps · 1 to 5
      Oct 25, 2013 to Mar 4, 2014
    • Employees · 19 to 18
      Oct 25, 2013 to Mar 4, 2014
    • Financial planning clients · 26-50 to 51-100
      Oct 25, 2013 to Mar 4, 2014
    • State-registered IARs · 8 to 9
      Oct 25, 2013 to Mar 4, 2014
    • Discretionary RAUM · $304M to $328M
      Oct 25, 2013 to Mar 4, 2014
    • Non-discretionary RAUM · $45.2M to $27.8M
      Oct 25, 2013 to Mar 4, 2014
    • RAUM · $349M to $356M
      Oct 25, 2013 to Mar 4, 2014
    • Accounts · 1,342 to 1,465
      Nov 2, 2012 to Mar 25, 2013
    • Advisory activities · 3 to 4
      Nov 2, 2012 to Mar 25, 2013
    • Employees · 20 to 19
      Nov 2, 2012 to Mar 25, 2013
    • Financial planning clients · 11-25 to 26-50
      Nov 2, 2012 to Mar 25, 2013
    • Discretionary RAUM · $308M to $304M
      Nov 2, 2012 to Mar 25, 2013
    • Non-discretionary RAUM · $53.1M to $45.2M
      Nov 2, 2012 to Mar 25, 2013
    • RAUM · $361M to $349M
      Nov 2, 2012 to Mar 25, 2013
    • Advisory employees · unset to 10.0
      Aug 29, 2012 to Nov 2, 2012
    • BD registered reps · unset to 1.0
      Aug 29, 2012 to Nov 2, 2012
    • Employees · unset to 20.0
      Aug 29, 2012 to Nov 2, 2012
    • State-registered IARs · unset to 8.0
      Aug 29, 2012 to Nov 2, 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