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

M•••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 105717SEC 801-29500IAPD
Latest filing Aug 16, 2012
First filing on the tape Mar 1, 2012 · 5 filings
RAUM
$1.4B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$32.9M gross assets
History
5 filings and snapshots on the tape
RAUM$1.4B as of Aug 16, 2012
Mar 1, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Aug 16, 2012
Mar 1, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 16, 2012; 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
$284,097derivedRAUM 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
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, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
2,000reportedItem 5.H
Custody
$32.9M, 1 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
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
5,100reported
Financial planning clients
2,000reported
Wrap fee programs
noreported
Custody of client assets
$32.9M for 1 clientsreported
Compensation
% of AUM, performancereported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• G••••••• B•••• · Board Membercontrol
    since 02/2006 · owns 10% to 25%
  • B••••• S•••••••• · Chief Compliance Officercontrol
    since 05/2009 · owns less than 5%
  • L••••••••• C••••••• J•• · Chief Executive Officercontrol
    since 02/2006 · owns 10% to 25%
  • M••••••••• J••••••• A••• · Board Membercontrol
    since 01/1993 · owns 25% to 50%
  • M••••••••• J•••• · N/A
    since 01/1993 · owns 5% to 10%
Related persons
Schedule D 7.A
  • L•••••••• G••••• O••••••••• F•••• G•••• L••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Business name · M•••••••• I••• to M•••••••• L••
    Mar 30, 2012 to Jun 19, 2012
  • Discretionary RAUM · $1.5B to $1.4B
    Mar 30, 2012 to Jun 19, 2012
  • RAUM · $1.5B to $1.4B
    Mar 30, 2012 to Jun 19, 2012
  • Organization form · Corporation to Limited Liability Company
    Mar 1, 2012 to Mar 30, 2012
  • Succession · false to true
    Mar 1, 2012 to Mar 30, 2012
  • Legal name · M•••••••• I••• to M•••••••• L••
    Mar 30, 2012 to Mar 30, 2012
  • Succession · true to false
    Mar 30, 2012 to Mar 30, 2012
Signals
1 dated events
  • M•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 30, 2012 · Succession (Item 4) · fact
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