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

V•••••••• • D••••••• F•••••••• A•••••••••

Former SEC-registered adviserSpokane, WashingtonCRD 108914SEC 801-58112IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 26, 2012 · 12 filings
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$283M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$283M as of Mar 28, 2020
Mar 26, 2012$130M then
HNW client RAUM$200M as of Mar 28, 2020
Mar 23, 2018$247M then
State-registered IARs (5.B.3)4 as of Mar 28, 2020
Mar 25, 20133 then
Employees (5.A)5 as of Mar 28, 2020
Mar 25, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$70.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$349,476derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.6%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$200M71%
  • Individuals$83.1M29%
Individual clients
237reported
HNW clients
80reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
811reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • V••••••••• M••••••• J•••• · President/Ccocontrol
      since 07/1997 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 787 to 811
      Mar 22, 2019 to Mar 28, 2020
    • Advisory employees · 5 to 4
      Mar 22, 2019 to Mar 28, 2020
    • HNW clients · 82 to 80
      Mar 22, 2019 to Mar 28, 2020
    • Individual clients · 233 to 237
      Mar 22, 2019 to Mar 28, 2020
    • Employees · 6 to 5
      Mar 22, 2019 to Mar 28, 2020
    • State-registered IARs · 5 to 4
      Mar 22, 2019 to Mar 28, 2020
    • Discretionary RAUM · $242M to $283M
      Mar 22, 2019 to Mar 28, 2020
    • HNW RAUM · $174M to $200M
      Mar 22, 2019 to Mar 28, 2020
    • Individual RAUM · $68.1M to $83.1M
      Mar 22, 2019 to Mar 28, 2020
    • Non-discretionary RAUM · $139,790 to $165,008
      Mar 22, 2019 to Mar 28, 2020
    • RAUM · $242M to $283M
      Mar 22, 2019 to Mar 28, 2020
    • Accounts · 310 to 787
      Mar 23, 2018 to Mar 22, 2019
    • Advisory employees · 4 to 5
      Mar 23, 2018 to Mar 22, 2019
    • HNW clients · 310 to 82
      Mar 23, 2018 to Mar 22, 2019
    • Individual clients · unset to 233.0
      Mar 23, 2018 to Mar 22, 2019
    • State-registered IARs · 4 to 5
      Mar 23, 2018 to Mar 22, 2019
    • Discretionary RAUM · $247M to $242M
      Mar 23, 2018 to Mar 22, 2019
    • HNW RAUM · $247M to $174M
      Mar 23, 2018 to Mar 22, 2019
    • Individual RAUM · unset to 68100371.0
      Mar 23, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · $0 to $139,790
      Mar 23, 2018 to Mar 22, 2019
    • RAUM · $247M to $242M
      Mar 23, 2018 to Mar 22, 2019
    • Accounts · 284 to 310
      Mar 17, 2017 to Mar 23, 2018
    • HNW clients · unset to 310.0
      Mar 17, 2017 to Mar 23, 2018
    • Financial planning clients · 101-250 to 251-500
      Mar 17, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Mar 17, 2017 to Mar 23, 2018
    • Discretionary RAUM · $209M to $247M
      Mar 17, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 246858000.0
      Mar 17, 2017 to Mar 23, 2018
    • RAUM · $209M to $247M
      Mar 17, 2017 to Mar 23, 2018
    • Accounts · 662 to 284
      Mar 17, 2016 to Mar 17, 2017
    • Employees · 5 to 6
      Mar 17, 2016 to Mar 17, 2017
    • Discretionary RAUM · $184M to $209M
      Mar 17, 2016 to Mar 17, 2017
    • RAUM · $184M to $209M
      Mar 17, 2016 to Mar 17, 2017
    • Related insurance company · true to false
      Mar 17, 2016 to Mar 17, 2017
    • Accounts · 226 to 662
      Mar 25, 2015 to Feb 9, 2016
    • Advisory employees · 3 to 4
      Mar 25, 2015 to Feb 9, 2016
    • State-registered IARs · 3 to 4
      Mar 25, 2015 to Feb 9, 2016
    • Discretionary RAUM · $184M to $184M
      Mar 25, 2015 to Feb 9, 2016
    • RAUM · $184M to $184M
      Mar 25, 2015 to Feb 9, 2016
    • Accounts · 715 to 226
      Mar 21, 2014 to Mar 25, 2015
    • Discretionary RAUM · $166M to $184M
      Mar 21, 2014 to Mar 25, 2015
    Signals
    1 dated events
    • Andrew Kevin Driscoll (Vice President) no longer on Schedule A of V•••••••• • D••••••• F•••••••• A••••••••• (listed 2019-03-22, absent 2020-03-28)
      Mar 28, 2020 · Control person left · inference
    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