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
N•••••••• A••••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since May 25, 1975
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$28.7M
derived; firm RAUM over IAPD count
Employees
380
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$115M as of Mar 19, 2026
Mar 29, 2012$313M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 29, 20120 then
Employees (5.A)380 as of Mar 19, 2026
Mar 26, 2013250 then
Private funds: no history
RAUM -77% over the last fiscal year-37% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $28.7MderivedRAUM 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
- $19.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 95.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -77%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$49.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.43 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• H•••• W••••••• | Seattle, Wa | May 1, 1992 | 34 y | 0 |
| G•••• R••••••• B••••••• | Seattle, Wa | May 8, 1992 | 49 y | 0 |
| M•••••• M•••• S••••• | Seattle, Wa | May 26, 1992 | 34 y | 0 |
| K•••••• M••• H•••••••• | Seattle, Wa | Mar 23, 2017 | 26 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
- K•••••• M••• H•••••••• from P•••••••• S••••••••• I•••Mar 23, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• G••••• R••••••• · Chief Compliance Officercontrolsince 01/2001 · owns less than 5%
- E•••••••• A••••• Y•••••• · Vp/Controllercontrolsince 04/2014 · owns less than 5%
- H•••••• C••••••••• R••••• · Chief Executive Officercontrolsince 12/2016 · owns 50% to 75%
- H•••••• J•• J•••• C••••••• · Sr Vice Presidentcontrolsince 04/2001 · owns 25% to 50%
- S•••••• M••••••• M•••• · Sr Vice Presidentcontrolsince 04/1992 · owns less than 5%
- W•••••••• F••••••• H•••• · Vice President, Investment Servicescontrolsince 03/1992 · 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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $490,759,781 to $114,794,748 (-77.0%) between the annual amendments of 2025-03-17 and 2026-03-19; the peer median change was +8.0% (161 comparable advisers, 1.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 6Mar 17, 2025 to Mar 19, 2026
- Employees · 381 to 380Mar 17, 2025 to Mar 19, 2026
- Discretionary RAUM · $491M to $115MMar 17, 2025 to Mar 19, 2026
- Pension RAUM · $165M to $49.5MMar 17, 2025 to Mar 19, 2026
- RAUM · $491M to $115MMar 17, 2025 to Mar 19, 2026
- Employees · 356 to 381Mar 20, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $484M to $491MMar 20, 2024 to Mar 17, 2025
- Pension RAUM · $165M to $165MMar 20, 2024 to Mar 17, 2025
- RAUM · $484M to $491MMar 20, 2024 to Mar 17, 2025
- Employees · 367 to 356Mar 17, 2023 to Mar 20, 2024
- Discretionary RAUM · $461M to $484MMar 17, 2023 to Mar 20, 2024
- Pension RAUM · $167M to $165MMar 17, 2023 to Mar 20, 2024
- RAUM · $461M to $484MMar 17, 2023 to Mar 20, 2024
- Employees · 352 to 367Mar 22, 2022 to Mar 17, 2023
- Discretionary RAUM · $431M to $461MMar 22, 2022 to Mar 17, 2023
- Pension RAUM · $166M to $167MMar 22, 2022 to Mar 17, 2023
- RAUM · $431M to $461MMar 22, 2022 to Mar 17, 2023
- Employees · 336 to 352Mar 22, 2021 to Mar 22, 2022
- Discretionary RAUM · $460M to $431MMar 22, 2021 to Mar 22, 2022
- Pension RAUM · $161M to $166MMar 22, 2021 to Mar 22, 2022
- RAUM · $460M to $431MMar 22, 2021 to Mar 22, 2022
- Accounts · 8 to 7Mar 12, 2020 to Mar 22, 2021
- Charity clients · 0.0 to unsetMar 12, 2020 to Mar 22, 2021
- Corporate clients · 0.0 to unsetMar 12, 2020 to Mar 22, 2021
- HNW clients · 0.0 to unsetMar 12, 2020 to Mar 22, 2021
- Individual clients · 0.0 to unsetMar 12, 2020 to Mar 22, 2021
- Pooled vehicle clients · 0.0 to unsetMar 12, 2020 to Mar 22, 2021
- Employees · 330 to 336Mar 12, 2020 to Mar 22, 2021
- Discretionary RAUM · $442M to $460MMar 12, 2020 to Mar 22, 2021
- Pension RAUM · $153M to $161MMar 12, 2020 to Mar 22, 2021
- RAUM · $442M to $460MMar 12, 2020 to Mar 22, 2021
- Accounts · 9 to 8Mar 26, 2019 to Mar 12, 2020
- Employees · 332 to 330Mar 26, 2019 to Mar 12, 2020
- Discretionary RAUM · $433M to $442MMar 26, 2019 to Mar 12, 2020
- Pension RAUM · $150M to $153MMar 26, 2019 to Mar 12, 2020
- RAUM · $433M to $442MMar 26, 2019 to Mar 12, 2020
- Employees · 318 to 332Mar 29, 2018 to Mar 26, 2019
- Discretionary RAUM · $385M to $433MMar 29, 2018 to Mar 26, 2019
- Pension RAUM · $146M to $150MMar 29, 2018 to Mar 26, 2019
Signals
3 dated events
- N•••••••• A••••••••• I•• reported RAUM $114.8M, down 77% from $490.8M (2025-03-17 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Robert Michael Herman (Sr Vice President) no longer on Schedule A of N•••••••• A••••••••• I•• (listed 2020-03-12, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Yolanda Arlyn Escalona (Vp/Controller) appeared on Schedule A of N•••••••• A••••••••• I••Mar 12, 2020 · Control person joined · 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
- Principal office phone
- 206-329-4900reportedpublic record, Form ADV, Mar 19, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $28.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026