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
P•••••••••
Legal name P••••••••• A•••• M••••••••• I••
Latest filing Sep 22, 2025
First filing on the tape Mar 28, 2012 · 16 filings
SEC status approved since Sep 24, 2002
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$0 as of Sep 22, 2025
Sep 24, 2012$0 then
HNW client RAUM$0 as of Sep 30, 2019
Sep 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Sep 22, 2025
Sep 24, 20120 then
Employees (5.A)3 as of Sep 22, 2025
Sep 10, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 22, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, publications, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• J••••• R•••••• · President/Chief Compliance Officercontrolsince 12/1987 · 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
- Financial planning clients · 0 to 0Sep 23, 2024 to Sep 22, 2025
- HQ city · unset to Sep 23, 2024 to Sep 22, 2025
- HQ state · unset to Sep 23, 2024 to Sep 22, 2025
- Accounts · unset to 0.0Sep 24, 2021 to Sep 27, 2022
- Employees · 2 to 3Sep 24, 2021 to Sep 27, 2022
- Discretionary RAUM · unset to 0.0Sep 24, 2021 to Sep 27, 2022
- Non-discretionary RAUM · unset to 0.0Sep 24, 2021 to Sep 27, 2022
- RAUM · unset to 0.0Sep 24, 2021 to Sep 27, 2022
- HNW RAUM · 0.0 to unsetSep 30, 2019 to Sep 28, 2020
- Individual RAUM · 0.0 to unsetSep 30, 2019 to Sep 28, 2020
- Pension RAUM · 0.0 to unsetSep 30, 2019 to Sep 28, 2020
- Pooled vehicle RAUM · 0.0 to unsetSep 30, 2019 to Sep 28, 2020
- Accounts · 0.0 to unsetSep 28, 2018 to Sep 30, 2019
- Discretionary RAUM · 0.0 to unsetSep 28, 2018 to Sep 30, 2019
- Non-discretionary RAUM · 0.0 to unsetSep 28, 2018 to Sep 30, 2019
- RAUM · 0.0 to unsetSep 28, 2018 to Sep 30, 2019
- Charity clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Corporate clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- HNW clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Individual clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Pension plan clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Pooled vehicle clients · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Other offices · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- HNW RAUM · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Individual RAUM · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Pension RAUM · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Pooled vehicle RAUM · unset to 0.0Sep 25, 2017 to Sep 28, 2018
- Advisory employees · 2 to 1Sep 23, 2014 to Jan 2, 2015
- Employees · 3 to 2Sep 23, 2014 to Jan 2, 2015
- Financial planning clients · unset to 0Sep 10, 2013 to Sep 23, 2014
- Advisory employees · unset to 2.0Sep 24, 2012 to Sep 10, 2013
- Employees · unset to 3.0Sep 24, 2012 to Sep 10, 2013
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.
How to reach
public business contact points only, each with its source
- Website
- P•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 360.594.8875reportedpublic record, Form ADV, Sep 22, 2025
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
- No RAUM reportedderiveda 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