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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R••••• • A••••••••• I••

Former SEC-registered adviserSeattle, WashingtonCRD 109475SEC 801-56341IAPD
Latest filing Mar 29, 2022
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$263M
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
100%
$263M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$263M as of Mar 29, 2022
Mar 30, 2012$154M then
HNW client RAUM$239M as of Mar 29, 2022
Mar 28, 2018$181M then
State-registered IARs (5.B.3)4 as of Mar 29, 2022
Mar 30, 20120 then
Employees (5.A)4 as of Mar 29, 2022
Mar 26, 20136 then
Private funds: no history
RAUM +10% over the last fiscal year+9.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$65.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$763,544derivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$239M91%
  • Individuals$24.2M9.2%
Individual clients
55reported
HNW clients
61reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
345reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••••• K••••• S• · President & Chief Compliance Officercontrol
    since 01/1996 · 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 · 328 to 345
    Apr 7, 2021 to Mar 29, 2022
  • HNW clients · 60 to 61
    Apr 7, 2021 to Mar 29, 2022
  • Individual clients · 48 to 55
    Apr 7, 2021 to Mar 29, 2022
  • Assets in custody · 16489236.0 to unset
    Apr 7, 2021 to Mar 29, 2022
  • Custody of client assets · true to false
    Apr 7, 2021 to Mar 29, 2022
  • Employees · 6 to 4
    Apr 7, 2021 to Mar 29, 2022
  • Financial planning clients · 101-250 to 51-100
    Apr 7, 2021 to Mar 29, 2022
  • Other offices · 1 to 0
    Apr 7, 2021 to Mar 29, 2022
  • Discretionary RAUM · $63.6M to $65.4M
    Apr 7, 2021 to Mar 29, 2022
  • HNW RAUM · $216M to $239M
    Apr 7, 2021 to Mar 29, 2022
  • Individual RAUM · $22.9M to $24.2M
    Apr 7, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $175M to $198M
    Apr 7, 2021 to Mar 29, 2022
  • RAUM · $239M to $263M
    Apr 7, 2021 to Mar 29, 2022
  • Other offices · 0 to 1
    Mar 22, 2021 to Apr 7, 2021
  • Accounts · 335 to 328
    Jun 29, 2020 to Mar 22, 2021
  • HNW clients · 61 to 60
    Jun 29, 2020 to Mar 22, 2021
  • Individual clients · 51 to 48
    Jun 29, 2020 to Mar 22, 2021
  • Assets in custody · $21.4M to $16.5M
    Jun 29, 2020 to Mar 22, 2021
  • Discretionary RAUM · $62.2M to $63.6M
    Jun 29, 2020 to Mar 22, 2021
  • HNW RAUM · $202M to $216M
    Jun 29, 2020 to Mar 22, 2021
  • Individual RAUM · $22.8M to $22.9M
    Jun 29, 2020 to Mar 22, 2021
  • Non-discretionary RAUM · $163M to $175M
    Jun 29, 2020 to Mar 22, 2021
  • RAUM · $225M to $239M
    Jun 29, 2020 to Mar 22, 2021
  • Accounts · 339 to 335
    Mar 27, 2019 to Mar 23, 2020
  • Advisory employees · 4 to 3
    Mar 27, 2019 to Mar 23, 2020
  • HNW clients · 57 to 61
    Mar 27, 2019 to Mar 23, 2020
  • Individual clients · 55 to 51
    Mar 27, 2019 to Mar 23, 2020
  • Assets in custody · $16.1M to $21.4M
    Mar 27, 2019 to Mar 23, 2020
  • Discretionary RAUM · $56.9M to $62.2M
    Mar 27, 2019 to Mar 23, 2020
  • HNW RAUM · $176M to $202M
    Mar 27, 2019 to Mar 23, 2020
  • Individual RAUM · $24.3M to $22.8M
    Mar 27, 2019 to Mar 23, 2020
  • Non-discretionary RAUM · $144M to $163M
    Mar 27, 2019 to Mar 23, 2020
  • RAUM · $201M to $225M
    Mar 27, 2019 to Mar 23, 2020
  • Accounts · 324 to 339
    Mar 28, 2018 to Mar 27, 2019
  • Advisory employees · 3 to 4
    Mar 28, 2018 to Mar 27, 2019
  • HNW clients · 54 to 57
    Mar 28, 2018 to Mar 27, 2019
  • Individual clients · 53 to 55
    Mar 28, 2018 to Mar 27, 2019
  • Assets in custody · $31.6M to $16.1M
    Mar 28, 2018 to Mar 27, 2019
  • Employees · 5 to 6
    Mar 28, 2018 to Mar 27, 2019
  • Discretionary RAUM · $54.4M to $56.9M
    Mar 28, 2018 to Mar 27, 2019
Signals
2 dated events
  • S••••• A•••• H••••••••• left R••••• • A••••••••• I•• for F•••• P•••••• F••••••••• I••• (registered 2022-02-23)
    Jul 13, 2022 · Advisor changed firm · fact
  • T•••• F• W•••••• left R••••• • A••••••••• I•• for A•••••• P••••••• W••••• M••••••••• (registered 2024-01-02)
    Jul 13, 2022 · Advisor changed firm · 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