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
R•••• • C•• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 19, 2012 · 23 filings
SEC status approved since Nov 20, 2013
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$201M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
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
23 filings and snapshots on the tape
RAUM$209M as of Mar 24, 2026
Mar 19, 2012$70.0M then
HNW client RAUM$201M as of Mar 24, 2026
Mar 27, 2018$139M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Mar 25, 20144 then
Private funds: no history
RAUM +13% over the last fiscal year+9.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M96%
- Pension and profit-sharing plans$6.2M2.9%
- Charitable organizations$2.0M0.9%
- Individual clients
- 0reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 153reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••••• G••••••••• R•••• | Seattle, Wa | Mar 5, 1993 | 33 y | 1 |
| K•••• C•••• R•••• | Seattle, Wa | Mar 9, 1993 | 36 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• E••••••••• G••••••••• · Managing Membercontrolsince 11/1992 · owns 50% to 75%
- R••••• K••••• C•••• · Managing Membercontrolsince 11/1992 · owns 25% to 50%
- T•••• X••••• · Chief Compliance Officersince 03/2011 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 139 to 153Mar 31, 2025 to Mar 24, 2026
- Charity clients · 2.0 to unsetMar 31, 2025 to Mar 24, 2026
- HNW clients · 43 to 44Mar 31, 2025 to Mar 24, 2026
- Pension plan clients · 2.0 to unsetMar 31, 2025 to Mar 24, 2026
- Employees · 3 to 2Mar 31, 2025 to Mar 24, 2026
- Financial planning clients · to 26-50Mar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $186M to $209MMar 31, 2025 to Mar 24, 2026
- HNW RAUM · $176M to $201MMar 31, 2025 to Mar 24, 2026
- Pension RAUM · $7.7M to $6.2MMar 31, 2025 to Mar 24, 2026
- RAUM · $186M to $209MMar 31, 2025 to Mar 24, 2026
- Accounts · 142 to 139Jan 26, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Jan 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jan 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $184M to $186MJan 26, 2024 to Mar 31, 2025
- HNW RAUM · $151M to $176MJan 26, 2024 to Mar 31, 2025
- Pension RAUM · $7.6M to $7.7MJan 26, 2024 to Mar 31, 2025
- RAUM · $184M to $186MJan 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $161M to $184MApr 20, 2023 to Jan 26, 2024
- HNW RAUM · $134M to $151MApr 20, 2023 to Jan 26, 2024
- Pension RAUM · $5.5M to $7.6MApr 20, 2023 to Jan 26, 2024
- RAUM · $161M to $184MApr 20, 2023 to Jan 26, 2024
- Accounts · 145 to 142Mar 22, 2022 to Mar 14, 2023
- HNW clients · 45 to 43Mar 22, 2022 to Mar 14, 2023
- Discretionary RAUM · $193M to $161MMar 22, 2022 to Mar 14, 2023
- HNW RAUM · $160M to $134MMar 22, 2022 to Mar 14, 2023
- Pension RAUM · $6.0M to $5.5MMar 22, 2022 to Mar 14, 2023
- RAUM · $193M to $161MMar 22, 2022 to Mar 14, 2023
- Accounts · 143 to 145Mar 12, 2021 to Mar 22, 2022
- HNW clients · 49 to 45Mar 12, 2021 to Mar 22, 2022
- Discretionary RAUM · $163M to $193MMar 12, 2021 to Mar 22, 2022
- HNW RAUM · $132M to $160MMar 12, 2021 to Mar 22, 2022
- Pension RAUM · $5.0M to $6.0MMar 12, 2021 to Mar 22, 2022
- RAUM · $163M to $193MMar 12, 2021 to Mar 22, 2022
- Accounts · 155 to 143Aug 27, 2020 to Mar 12, 2021
- Corporate clients · 1.0 to unsetAug 27, 2020 to Mar 12, 2021
- Employees · 4 to 3Aug 27, 2020 to Mar 12, 2021
- Discretionary RAUM · $165M to $163MAug 27, 2020 to Mar 12, 2021
- HNW RAUM · $132M to $132MAug 27, 2020 to Mar 12, 2021
- Pension RAUM · $4.8M to $5.0MAug 27, 2020 to Mar 12, 2021
- RAUM · $165M to $163MAug 27, 2020 to Mar 12, 2021
Signals
1 dated events
- R•••• • C•• L•• filed its initial SEC registration (Form ADV)Nov 7, 2013 · First SEC registration · fact
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
- Business phone
- 206-323-2255reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••INVESTMENTMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-323-2255reportedpublic record, Form ADV, Mar 24, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026