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••••••• I••••••••• M••••••••• I••
Latest filing Sep 3, 2026
First filing on the tape Jan 9, 2012 · 5 filings
SEC status approved since Aug 27, 2026
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$146M as of Aug 26, 2026
Jan 9, 2012$67.6M then
HNW client RAUM: $131M
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Jan 9, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $901,983derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- High-net-worth individuals$131M90%
- Individuals$10.6M7.2%
- Charitable organizations$4.1M2.8%
- Individual clients
- 27reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 162reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= 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
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
- J•••• F•••••••• K•••• from S•••••• V••••• W••••• A•••••••• L••Nov 23, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• R•••• M• · President, Secretary And Chief Compliance Officercontrolsince 08/2011 · owns 75% or more
- P•••••••• J•••• A• · Chairmansince 08/2011 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Spokane, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 26, 2026 to Sep 3, 2026
- HQ city · to unsetAug 26, 2026 to Sep 3, 2026
- HQ state · to unsetAug 26, 2026 to Sep 3, 2026
- Related adviser · false to unsetAug 26, 2026 to Sep 3, 2026
- Related bank · false to unsetAug 26, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetAug 26, 2026 to Sep 3, 2026
- Related insurance company · false to unsetAug 26, 2026 to Sep 3, 2026
- Succession · false to unsetAug 26, 2026 to Sep 3, 2026
- Accounts · 81 to 162Jun 13, 2012 to Aug 26, 2026
- Advisory employees · unset to 2.0Jun 13, 2012 to Aug 26, 2026
- Charity clients · unset to 1.0Jun 13, 2012 to Aug 26, 2026
- Corporate clients · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- HNW clients · unset to 42.0Jun 13, 2012 to Aug 26, 2026
- Individual clients · unset to 27.0Jun 13, 2012 to Aug 26, 2026
- Pension plan clients · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- Pooled vehicle clients · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- Employees · unset to 2.0Jun 13, 2012 to Aug 26, 2026
- Insurance-licensed employees · 0 to 2Jun 13, 2012 to Aug 26, 2026
- Financial planning clients · 0 to Jun 13, 2012 to Aug 26, 2026
- HQ city · SPOKANE to Jun 13, 2012 to Aug 26, 2026
- HQ state · WA to Jun 13, 2012 to Aug 26, 2026
- State-registered IARs · 0 to 2Jun 13, 2012 to Aug 26, 2026
- Other offices · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- Discretionary RAUM · $53.2M to $146MJun 13, 2012 to Aug 26, 2026
- HNW RAUM · unset to 131460180.0Jun 13, 2012 to Aug 26, 2026
- Individual RAUM · unset to 10579666.0Jun 13, 2012 to Aug 26, 2026
- Pension RAUM · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- Pooled vehicle RAUM · unset to 0.0Jun 13, 2012 to Aug 26, 2026
- RAUM · $53.2M to $146MJun 13, 2012 to Aug 26, 2026
- Accounts · 82 to 81Mar 28, 2012 to Jun 13, 2012
- Discretionary RAUM · $67.6M to $53.2MMar 28, 2012 to Jun 13, 2012
- RAUM · $67.6M to $53.2MMar 28, 2012 to Jun 13, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 509-991-0894reportedpublic record, Form ADV, Sep 3, 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
- $73.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026