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
P••••••• I••••••••• M••••••••• I••
Latest filing Feb 4, 2025
First filing on the tape Nov 11, 2011 · 29 filings
SEC status approved since Aug 7, 1981
RAUM
$568M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$566M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$568M as of Feb 4, 2025
Mar 29, 2012$334M then
HNW client RAUM$414M as of Feb 4, 2025
Mar 2, 2018$241M then
State-registered IARs (5.B.3)4 as of Feb 4, 2025
Mar 29, 20120 then
Employees (5.A)6 as of Feb 4, 2025
Mar 28, 20139 then
Private funds: no history
RAUM +6.2% over the last fiscal year+2.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Feb 4, 2025; every figure names its basis
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $410,730derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$414M73%
- Individuals$152M27%
- Charitable organizations$1.3M0.2%
- Individual clients
- 291reported
- HNW clients
- 191reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,382reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Left, latest
- R••••• G••••• C•••• to P••• F•••••••• A•••••••• L••Apr 11, 2025 · RIA to RIA
- J••••••• A•• L••••• to P••• F•••••••• A•••••••• L••Apr 11, 2025 · RIA to RIA
- C••••••••• J•••• R•••• to P••• F•••••••• A•••••••• L••Apr 11, 2025 · RIA to RIA
- B•••• C•••••• F•••• to P••• F•••••••• A•••••••• L••Apr 11, 2025 · RIA to RIA
- S•••••• R•••• M••••• to M••••• W••••• M•••••••••Mar 19, 2025 · RIA to a state-registered adviser
- L•••• D••••• W••••• to D• I••••••••• S••••••••• I•••Jul 21, 2009 · Other
Joined, latest
- S•••••• R•••• M••••• from A•••• W••••• A•••••••Apr 22, 2019 · RIA to RIA
- B•••• C•••••• F•••• from C•••••• S••••• • C••• I•••Jan 5, 2017 · Other
- C••••••••• J•••• R•••• from F•• W••••• M••••••••• L••Nov 24, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for P••• F•••••••• A•••••••• L••Apr 11, 2025 · Redmond, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R•••••• G••••• · Vice Presidentcontrolsince 02/2020 · owns 25% to 50%
- F••••• B••••• C•••••• · Chief Investment Officercontrolsince 02/2020 · owns 25% to 50%
- L•••••• J•••••••• A•• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- R••••• C••••••••• J•••• · Chairman Of The Board Of Directors & Chief Executive Officercontrolsince 12/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Redmond, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,429 to 1,382Jan 24, 2024 to Feb 4, 2025
- HNW clients · 172 to 191Jan 24, 2024 to Feb 4, 2025
- Individual clients · 319 to 291Jan 24, 2024 to Feb 4, 2025
- Employees · 5 to 6Jan 24, 2024 to Feb 4, 2025
- State-registered IARs · 5 to 4Jan 24, 2024 to Feb 4, 2025
- Discretionary RAUM · $534M to $568MJan 24, 2024 to Feb 4, 2025
- HNW RAUM · $371M to $414MJan 24, 2024 to Feb 4, 2025
- Individual RAUM · $163M to $152MJan 24, 2024 to Feb 4, 2025
- RAUM · $534M to $568MJan 24, 2024 to Feb 4, 2025
- Accounts · 1,355 to 1,429Jan 16, 2023 to Jan 24, 2024
- HNW clients · 157 to 172Jan 16, 2023 to Jan 24, 2024
- Individual clients · 324 to 319Jan 16, 2023 to Jan 24, 2024
- Discretionary RAUM · $484M to $534MJan 16, 2023 to Jan 24, 2024
- HNW RAUM · $325M to $371MJan 16, 2023 to Jan 24, 2024
- Individual RAUM · $157M to $163MJan 16, 2023 to Jan 24, 2024
- RAUM · $484M to $534MJan 16, 2023 to Jan 24, 2024
- Accounts · 1,311 to 1,355Aug 17, 2022 to Jan 16, 2023
- Advisory employees · 5 to 4Aug 17, 2022 to Jan 16, 2023
- HNW clients · 165 to 157Aug 17, 2022 to Jan 16, 2023
- Individual clients · 287 to 324Aug 17, 2022 to Jan 16, 2023
- Financial planning clients · 51-100 to 101-250Aug 17, 2022 to Jan 16, 2023
- Discretionary RAUM · $534M to $484MAug 17, 2022 to Jan 16, 2023
- HNW RAUM · $367M to $325MAug 17, 2022 to Jan 16, 2023
- Individual RAUM · $165M to $157MAug 17, 2022 to Jan 16, 2023
- RAUM · $534M to $484MAug 17, 2022 to Jan 16, 2023
- Accounts · 1,244 to 1,311Feb 1, 2021 to Jan 17, 2022
- HNW clients · 180 to 165Feb 1, 2021 to Jan 17, 2022
- Individual clients · 272 to 287Feb 1, 2021 to Jan 17, 2022
- Employees · 8 to 5Feb 1, 2021 to Jan 17, 2022
- Financial planning clients · 26-50 to 51-100Feb 1, 2021 to Jan 17, 2022
- State-registered IARs · 6 to 5Feb 1, 2021 to Jan 17, 2022
- Discretionary RAUM · $488M to $534MFeb 1, 2021 to Jan 17, 2022
- HNW RAUM · $353M to $367MFeb 1, 2021 to Jan 17, 2022
- Individual RAUM · $134M to $165MFeb 1, 2021 to Jan 17, 2022
- RAUM · $488M to $534MFeb 1, 2021 to Jan 17, 2022
- Accounts · 909 to 1,244Jun 15, 2020 to Feb 1, 2021
- Charity clients · 0.0 to unsetJun 15, 2020 to Feb 1, 2021
- HNW clients · 126 to 180Jun 15, 2020 to Feb 1, 2021
- Individual clients · 313 to 272Jun 15, 2020 to Feb 1, 2021
- State-registered IARs · 5 to 6Jun 15, 2020 to Feb 1, 2021
Signals
13 dated events
- P••••••• I••••••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $567.6M)May 2, 2025 · Left the SEC roster · derived
- J••••••• A•• L••••• left P••••••• I••••••••• M••••••••• I•• for P••• F•••••••• A•••••••• L•• (registered 2025-03-17)Apr 11, 2025 · Advisor changed firm · fact
- C••••••••• J•••• R•••• left P••••••• I••••••••• M••••••••• I•• for P••• F•••••••• A•••••••• L•• (registered 2025-03-17)Apr 11, 2025 · Advisor changed firm · fact
- P••••••• I••••••••• M••••••••• I••'s advisors moved to P••• F•••••••• A•••••••• L•• (Redmond, WA): 4 of 4 registered, on the same dayApr 11, 2025 · Firm absorbed (people side) · derived
- R••••• G••••• C•••• left P••••••• I••••••••• M••••••••• I•• for P••• F•••••••• A•••••••• L•• (registered 2025-04-10)Apr 11, 2025 · Advisor changed firm · fact
- B•••• C•••••• F•••• left P••••••• I••••••••• M••••••••• I•• for P••• F•••••••• A•••••••• L•• (registered 2025-03-17)Apr 11, 2025 · Advisor changed firm · fact
- S•••••• R•••• M••••• left P••••••• I••••••••• M••••••••• I•• for M••••• W••••• M••••••••• (registered 2025-01-22)Mar 19, 2025 · Advisor changed firm · fact
- Joel Ronald Moskat (Chairman Of The Board Of Directors) no longer on Schedule A of P••••••• I••••••••• M••••••••• I•• (listed 2020-06-15, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- Ann Jennifer Laduca (Chief Operating Officer And Compliance Supervisor) appeared on Schedule A of P••••••• I••••••••• M••••••••• I••Feb 1, 2021 · Control person joined · fact
- P••••••• I••••••••• M••••••••• I•• reported RAUM $487.6M, up 28% from $382.4M (2020-06-15 to 2021-02-01)Feb 1, 2021 · RAUM change · derived
- Joel Ronald Moskat (Chairman Of The Board Of Directors) appeared on Schedule A of P••••••• I••••••••• M••••••••• I••Mar 10, 2020 · Control person joined · fact
- George Rodney Coyan (Vice President) appeared on Schedule A of P••••••• I••••••••• M••••••••• I••Mar 9, 2020 · Control person joined · fact
- Charles Brian Fahey (Chief Investment Officer) appeared on Schedule A of P••••••• I••••••••• M••••••••• I••Mar 9, 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.
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