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.
SEC-registered adviser
Financial Insights Wealth Management
Legal name Financial Insights Inc
Latest filing Jun 2, 2026
First filing on the tape Mar 29, 2012 · 55 filings
SEC status approved since Jun 26, 1984
RAUM
$747M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$744M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$93.3M
derived; firm RAUM over IAPD count
Employees
16
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$747M as of Jun 2, 2026
Mar 29, 2012$100M then
HNW client RAUM$587M as of Jun 2, 2026
Mar 27, 2018$201M then
State-registered IARs (5.B.3)7 as of Jun 2, 2026
Mar 29, 20120 then
Employees (5.A)16 as of Jun 2, 2026
Mar 1, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+6.3% a year over threeIARs 9 to 7
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $972,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$587M79%
- Individuals$156M21%
- Pension and profit-sharing plans$2.1M0.3%
- Charitable organizations$1.1M0.2%
- Individual clients
- 533reported
- HNW clients
- 235reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 768reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dorothy Anne LewisCertified Financial Planner | Tacoma, Wa | Nov 2, 2010 | 46 y | 1 |
| Alexandria Anne KempCertified Financial Planner | Tacoma, Wa | Jun 10, 2013 | 12 y | 0 |
| John Joseph WalshCertified Financial Planner | Tacoma, Wa | Sep 21, 2015 | 40 y | 2 |
| Michael William Dunbar | Tacoma, Wa | Sep 21, 2015 | 42 y | 2 |
| Daniel Joseph Mccaffrey | Tacoma, Wa | Mar 24, 2016 | 13 y | 0 |
| Amanda Marie BurrowsCertified Financial Planner | Tacoma, Wa | Jul 15, 2019 | 15 y | 2 |
| Alan Han HensleyCertified Financial Planner | Tacoma, Wa | Oct 24, 2023 | 18 y | 4 |
| Jordan Ford | Tacoma, Wa | Aug 3, 2024 | 19 y | 0 |
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 headcount3 left over 36 months
Left, latest
- Jun Stephen Chea to Rainier Family Wealth, Inc.Sep 2, 2024 · RIA to a newly registered adviser
- Michael Robert Ruff to Rainier Family Wealth, Inc.Sep 2, 2024 · RIA to a newly registered adviser
- Rhys Colby Cooper to Shilanski & Associates, Inc.Sep 26, 2023 · RIA to RIA
- Craig Gerald Davis to Drive Wealth AdvisersMay 18, 2020 · RIA to RIA
- Joshua Richard Meziere to United Capital Financial AdvisorsOct 13, 2017 · Other
- Tingwei Chiang to Cutler Investment GroupJun 10, 2013 · Other
- Virginia Carlene Bruce to Firewall Capital ManagementNov 15, 2010 · Other
Joined, latest
- Alan Han Hensley from MerrimanOct 24, 2023 · RIA to RIA
- Amanda Marie Burrows from J.P. Morgan Securities LLCJul 15, 2019 · Wirehouse to independent RIA
- Joshua Richard Meziere from Global Financial Private Capital, Inc.Oct 11, 2016 · Other
- Michael William Dunbar from Next Financial Group, Inc.Sep 21, 2015 · Other
- John Joseph Walsh from Next Financial Group, Inc.Sep 21, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Rainier Family Wealth, Inc.Sep 2, 2024 · Tacoma, Wa
- 2 joined from Next Financial Group, Inc.Sep 23, 2015 · Tacoma, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anne Alexandria Kemp · Chief Executive Officer & Chief Compliance Officercontrolsince 01/2022 · owns 75% or more
- Anne Dorothy Lewis · Foundercontrolsince 02/1981 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Tacoma, Wa · principal | 8 | 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
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 1,950.0 to 768.0 (-61.0%) between the annual amendments of 2025-04-14 and 2026-03-30; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 1.2% percentile
What changed
consecutive filings, newest first
- RAUM · $663M to $747MOct 10, 2025 to Mar 30, 2026
- Wrap assets (manager) · 0.0 to unsetOct 10, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetOct 10, 2025 to Mar 30, 2026
- Accounts · 1,950 to 768Oct 10, 2025 to Mar 30, 2026
- Advisory employees · 9 to 6Oct 10, 2025 to Mar 30, 2026
- Charity clients · 5 to 6Oct 10, 2025 to Mar 30, 2026
- HNW clients · 214 to 235Oct 10, 2025 to Mar 30, 2026
- Individual clients · 620 to 533Oct 10, 2025 to Mar 30, 2026
- Employees · 13 to 16Oct 10, 2025 to Mar 30, 2026
- State-registered IARs · 9 to 7Oct 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $636M to $708MOct 10, 2025 to Mar 30, 2026
- HNW RAUM · $453M to $587MOct 10, 2025 to Mar 30, 2026
- Individual RAUM · $208M to $156MOct 10, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $26.8M to $38.3MOct 10, 2025 to Mar 30, 2026
- Pension RAUM · unset to 2082261.0Oct 10, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Apr 14, 2025 to May 7, 2025
- Accounts · 2,079 to 1,950Jan 21, 2025 to Apr 14, 2025
- Advisory employees · 10 to 9Jan 21, 2025 to Apr 14, 2025
- Business name · FINANCIAL INSIGHTS to FINANCIAL INSIGHTS WEALTH MANAGEMENTJan 21, 2025 to Apr 14, 2025
- HNW clients · 224 to 214Jan 21, 2025 to Apr 14, 2025
- Individual clients · 526 to 620Jan 21, 2025 to Apr 14, 2025
- Employees · 16 to 13Jan 21, 2025 to Apr 14, 2025
- Financial planning clients · 11-25 to 1-10Jan 21, 2025 to Apr 14, 2025
- State-registered IARs · 10 to 9Jan 21, 2025 to Apr 14, 2025
- Other offices · 0 to 1Jan 21, 2025 to Apr 14, 2025
- Discretionary RAUM · $789M to $636MJan 21, 2025 to Apr 14, 2025
- HNW RAUM · $613M to $453MJan 21, 2025 to Apr 14, 2025
- Individual RAUM · $171M to $208MJan 21, 2025 to Apr 14, 2025
- Non-discretionary RAUM · $0 to $26.8MJan 21, 2025 to Apr 14, 2025
- Pension RAUM · 3852847.0 to unsetJan 21, 2025 to Apr 14, 2025
- RAUM · $789M to $663MJan 21, 2025 to Apr 14, 2025
- Wrap assets (manager) · unset to 0.0Jan 21, 2025 to Apr 14, 2025
- Wrap assets (sponsor) · unset to 0.0Jan 21, 2025 to Apr 14, 2025
- Accounts · 2,048 to 2,079Feb 9, 2024 to Mar 27, 2024
- HNW clients · 174 to 224Feb 9, 2024 to Mar 27, 2024
- Individual clients · 545 to 526Feb 9, 2024 to Mar 27, 2024
- Employees · 17 to 16Feb 9, 2024 to Mar 27, 2024
- Discretionary RAUM · $621M to $789MFeb 9, 2024 to Mar 27, 2024
- HNW RAUM · $436M to $613MFeb 9, 2024 to Mar 27, 2024
- Individual RAUM · $180M to $171MFeb 9, 2024 to Mar 27, 2024
Signals
7 dated events
- Jun Stephen Chea left Financial Insights Wealth Management for Rainier Family Wealth, Inc. (registered 2024-09-03)Sep 2, 2024 · Advisor changed firm · fact
- Michael Robert Ruff left Financial Insights Wealth Management for Rainier Family Wealth, Inc. (registered 2024-09-05)Sep 2, 2024 · Advisor changed firm · fact
- 2 advisors left Financial Insights Wealth Management (Tacoma, WA) for Rainier Family Wealth, Inc. on the same daySep 2, 2024 · Team lift-out · derived
- Financial Insights Wealth Management reported RAUM $789.1M, up 27% from $621.1M (2024-02-09 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Rhys Colby Cooper left Financial Insights Wealth Management for Shilanski & Associates, Inc. (registered 2023-10-03)Sep 26, 2023 · Advisor changed firm · fact
- Arthur Brian Babbitt (Chief Investment Officer) no longer on Schedule A of Financial Insights Wealth Management (listed 2023-02-10, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Arthur Brian Babbitt (Chief Investment Officer & Chief Compliance Officer) appeared on Schedule A of Financial Insights Wealth ManagementMar 29, 2022 · 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
- Business phone
- 253-272-1021reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 253-272-2927reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 253-627-6010reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/financial-insights-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- financialinsights.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (253) 627-6010reportedpublic record, Form ADV, Jun 2, 2026
- Contact form
- financialinsights.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $93.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026