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

S••••• C•••••• M••••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 106812SEC 801-52176IAPD
Latest filing Mar 11, 2016
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$520M
reported, Item 5.F
Discretionary
90%
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
10
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$54.6M gross assets
History
11 filings and snapshots on the tape
RAUM$520M as of Mar 11, 2016
Mar 28, 2012$643M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 11, 2016
Mar 28, 20120 then
Employees (5.A)10 as of Mar 11, 2016
Apr 1, 201310 then
Private funds2 as of Mar 11, 2016
Mar 28, 20123 then
RAUM -16% over the last fiscal year-3.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 2016; every figure names its basis
RAUM per advisor
$130MderivedRAUM 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
$639,176derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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 fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$50.5M, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
814reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$50.5M for 2 clientsreported
Compensation
% of AUM, fixed, 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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S••••• W•••• P••••••• F••• L•no longer reportedHedge Fund$72.6M60Mar 28, 2012
    S••••• S•••••• S••••••••• F••• L•no longer reportedHedge Fund$67.2M70Mar 28, 2012
    E•••••• P••••••• L•Hedge Fund$52.3M75Mar 28, 2012
    S••••• L• H•••••••• L••Private Equity Fund$2.3M10Oct 23, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• L•••• M•••• · Chief Compliance Officercontrol
      since 10/2006 · owns less than 5%
    • M•••••• D••••• K••• · Membercontrol
      since 10/2006 · owns less than 5%
    • M•••••• R•••••• J••••• · Managing Membercontrol
      since 10/2006 · owns less than 5%
    • R•••••• M••••••• C••• · Membercontrol
      since 01/2000 · owns less than 5%
    • M•••••• D••••• K••• · Membercontrol
      since 10/2006 · owns 25% to 50% of S••••• C•••••• G•••• L••
    • M•••••• R•••••• J••••• · Managing Membercontrol
      since 10/2006 · owns 25% to 50% of S••••• C•••••• G•••• L••
    • R•••••• M••••••• C••• · Membercontrol
      since 10/2006 · owns F of S••••• C•••••• G•••• L••
    Entity owners
    • S••••• C•••••• G•••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • E•••••• C•••••• L••
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    • Spokane, WA
    What changed
    consecutive filings, newest first
    • Accounts · 808 to 814
      Oct 23, 2015 to Mar 11, 2016
    • Assets in custody · $70.6M to $50.5M
      Oct 23, 2015 to Mar 11, 2016
    • Discretionary RAUM · $571M to $470M
      Oct 23, 2015 to Mar 11, 2016
    • Non-discretionary RAUM · $51.6M to $50.2M
      Oct 23, 2015 to Mar 11, 2016
    • RAUM · $623M to $520M
      Oct 23, 2015 to Mar 11, 2016
    • Advisory employees · 10 to 8
      Feb 13, 2015 to Oct 23, 2015
    • Employees · 11 to 10
      Feb 13, 2015 to Oct 23, 2015
    • Private funds · 1 to 2
      Feb 13, 2015 to Oct 23, 2015
    • Accounts · 789 to 808
      Apr 17, 2014 to Feb 13, 2015
    • Advisory employees · 9 to 10
      Apr 17, 2014 to Feb 13, 2015
    • Assets in custody · $83.5M to $70.6M
      Apr 17, 2014 to Feb 13, 2015
    • Employees · 12 to 11
      Apr 17, 2014 to Feb 13, 2015
    • State-registered IARs · 5 to 4
      Apr 17, 2014 to Feb 13, 2015
    • Discretionary RAUM · $573M to $571M
      Apr 17, 2014 to Feb 13, 2015
    • Non-discretionary RAUM · $44.5M to $51.6M
      Apr 17, 2014 to Feb 13, 2015
    • RAUM · $617M to $623M
      Apr 17, 2014 to Feb 13, 2015
    • Accounts · 603 to 789
      Apr 1, 2013 to Mar 21, 2014
    • Assets in custody · $84.3M to $83.5M
      Apr 1, 2013 to Mar 21, 2014
    • Employees · 10 to 12
      Apr 1, 2013 to Mar 21, 2014
    • State-registered IARs · 3 to 5
      Apr 1, 2013 to Mar 21, 2014
    • Discretionary RAUM · $546M to $573M
      Apr 1, 2013 to Mar 21, 2014
    • Non-discretionary RAUM · $26.1M to $44.5M
      Apr 1, 2013 to Mar 21, 2014
    • RAUM · $572M to $617M
      Apr 1, 2013 to Mar 21, 2014
    • Accounts · 594 to 603
      Oct 9, 2012 to Apr 1, 2013
    • Advisory employees · unset to 9.0
      Oct 9, 2012 to Apr 1, 2013
    • BD registered reps · unset to 2.0
      Oct 9, 2012 to Apr 1, 2013
    • Assets in custody · $84.0M to $84.3M
      Oct 9, 2012 to Apr 1, 2013
    • Employees · unset to 10.0
      Oct 9, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 3
      Oct 9, 2012 to Apr 1, 2013
    • Discretionary RAUM · $532M to $546M
      Oct 9, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $29.6M to $26.1M
      Oct 9, 2012 to Apr 1, 2013
    • RAUM · $562M to $572M
      Oct 9, 2012 to Apr 1, 2013
    • Accounts · 608 to 594
      Jul 13, 2012 to Oct 9, 2012
    • Assets in custody · $221M to $84.0M
      Jul 13, 2012 to Oct 9, 2012
    • Private funds · 3 to 1
      Jul 13, 2012 to Oct 9, 2012
    • Discretionary RAUM · $619M to $532M
      Jul 13, 2012 to Oct 9, 2012
    • Non-discretionary RAUM · $24.3M to $29.6M
      Jul 13, 2012 to Oct 9, 2012
    • RAUM · $643M to $562M
      Jul 13, 2012 to Oct 9, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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