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•••••• W••• F•••••••• C••••••••• I••
Latest filing Mar 7, 2012
First filing on the tape Feb 15, 2012 · 3 filings
RAUM
$891M
reported, Item 5.F
Discretionary
68%
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
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$891M as of Mar 7, 2012
Feb 15, 2012$891M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 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
- $129,173derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 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, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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
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
- 6,894reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- 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
- H••••• J••••• E•••••••• to C••••• A•••••• N••••••• L••Mar 30, 2012 · Other
- K•••••• L•• C•••••• to S••••••• F•••••••• S•••••••• I•••Mar 16, 2012 · Other
- S••••• K•• D•••••• to C••••••• I••••••••• G••••Mar 16, 2012 · Other
- J•••• E••••• B••• to C••••• A••••••• L••Mar 16, 2012 · Other
- M•••• I•••• G••••• to K•• F•••••••• S•••••••• I••Mar 1, 2012 · Other
- D•••• R••••• F•••••••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- M•••••• W•••••• W•••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- M•••••• J••• S••••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- C••••••••• J••• S••••••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- C••• A••• B•••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- H•••• B••••• S••••••• to A•••• W••••• M••••••••• L••Feb 28, 2012 · Other
- R•••••• L••• B•••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- V••••• R•• M••••••••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- J••••• F•••••• G••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
- K•••• T••••• F••• to C••••• I••••••••• A••••••• L••Feb 28, 2012 · Other
Joined, latest
- S••••• K•• D•••••• from C••••• A••••••• L••Mar 2, 2012 · Other
- H•••• B••••• S••••••• from C••••••• W••••• A•••••••• L••Oct 27, 2011 · Other
- T•••••• C•••• V••• from W•••••• • R•••Jul 11, 2011 · Other
- J••••• R••• S•••••• from E••••• J••••Mar 18, 2011 · Other
- P•••• J• A•••• from M••••• S••••••Mar 4, 2011 · Other
- D••••• G••••• M•••••••• from S••Jan 31, 2011 · Other
- D•••• T••••• S••••••• from L•• F•••••••• L••Nov 19, 2010 · Other
- M•••••• K••••••• T••••• from L•• F•••••••• L••Nov 9, 2010 · Other
- E••• B••••• H•••••• from U••••• S••••••••• A•••••••• I•••Nov 5, 2010 · Other
- A••••• J••• G••••• from M••••• S••••••Oct 19, 2010 · Other
- D••••• S•••••• K•••• from C••••••• W••••• • C••Sep 3, 2010 · Other
- T•••• J••••• N••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 9, 2010 · Other
- D•••••• M•••• L•••••••• from R•• C•••••• M••••••• L••Aug 5, 2010 · Other
- M•••••• W•••••• W•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 9, 2010 · Other
- B•••• S•• E••••••••• M••••••• from W•••• F•••• I••••••••• L••May 14, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• E••••• J••• · Director, Cmo, Membercontrolsince 06/1999 · owns less than 5%
- F•••• S•••••• L••• · Director, President, Cfo, Membercontrolsince 01/2007 · owns less than 5%
- P•••••• P•••••• A•••••• · Director, Ceo, Membercontrolsince 01/2007 · owns less than 5%
- F•••• E••••• J••• · Member - 22.5%, Director, Vice President, Coocontrolsince 07/2002 · owns 25% to 50% of P•••••• W••• Financial Group Holding Company LLC
- F•••• S•••••• L••• · Member - 22.5%, Director, President, Cfocontrolsince 01/2007 · owns 25% to 50% of P•••••• W••• Financial Group Holding Company LLC
- P•••••• P•••••• A•••••• · Member - 55%, Director, Ceocontrolsince 01/2007 · owns 50% to 75% of P•••••• W••• Financial Group Holding Company, L.L.C.
- M••••••••• M•••• T••••• · Chief Compliance Officersince 03/2006 · owns less than 5%
Entity owners
- P•••••• W••• F•••••••• G•••• H•••••• C•• L•• · Intermidiary Holding Co.direct · owns 75% or more
Related persons
Schedule D 7.A
- B••••••• F•••••••• A•••••••investment advisern
- B••• S••••• W••••• M•••••••••investment advisern
- G••••• F••••••••investment advisern
- P•••••• W••• S••••••••• I•••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- Englew•••, CO
- Monterey, CA
- Seattle, WA
- Tigard, OR
- Vancouver, WA
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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