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
D••••• • H••••• L•••
Latest filing Sep 22, 2025
First filing on the tape Apr 29, 2014 · 16 filings
SEC status approved since May 20, 2014
RAUM
$664M
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
36%
$241M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$664M as of Sep 22, 2025
May 1, 2015$234M then
HNW client RAUM$241M as of Sep 22, 2025
Mar 27, 2018$126M then
State-registered IARs (5.B.3)3 as of Sep 22, 2025
May 1, 20152 then
Employees (5.A)4 as of Sep 22, 2025
May 1, 20154 then
Private funds: no history
RAUM +16% over the last fiscal year+3.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 22, 2025; every figure names its basis
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $6.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 38%derivedof RAUM
- Institutional
- 64%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$411M62%
- High-net-worth individuals$241M36%
- Charitable organizations$12.3M1.9%
- Individual clients
- n/areported
- HNW clients
- 86reported
- Pension plan clients
- 23reported
- Charitable clients
- 1reported
- Accounts
- 110reported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- K••••• L•••• M••••••• to C••••••• P•••••••Mar 30, 2026 · RIA to RIA
- J••• C•••• H•••• to C••••••• P•••••••Mar 30, 2026 · RIA to RIA
- K•••••• S••••• M••••••• to C••••••• P•••••••Mar 30, 2026 · RIA to RIA
- K•••••• S••••• M••••••• to F••••• I•••••••••Mar 4, 2019 · RIA to RIA
Joined, latest
- K•••••• S••••• M••••••• from F••••• I•••••••••May 1, 2019 · RIA to RIA
- K•••••• S••••• M••••••• from U•• F•••••••• S••••••• I•••Jun 14, 2016 · Other
- K••••• L•••• M••••••• from L•• F•••••••• L••Jun 11, 2007 · Other
- J••• C•••• H•••• from L•• F•••••••• L••May 30, 2001 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••• P•••••••Mar 30, 2026 · Seattle, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• C•••• · Presidentcontrolsince 01/2002 · owns 75% or more
- M•••••••• K•••••• L•••• · Cco, Vp Insurance Practicesince 01/2006 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 82 to 110Mar 1, 2024 to Mar 13, 2025
- HNW clients · 61 to 86Mar 1, 2024 to Mar 13, 2025
- Pension plan clients · 21 to 23Mar 1, 2024 to Mar 13, 2025
- Employees · 6 to 4Mar 1, 2024 to Mar 13, 2025
- Financial planning clients · 26-50 to 51-100Mar 1, 2024 to Mar 13, 2025
- Discretionary RAUM · $210M to $253MMar 1, 2024 to Mar 13, 2025
- HNW RAUM · $198M to $241MMar 1, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $361M to $411MMar 1, 2024 to Mar 13, 2025
- Pension RAUM · $361M to $411MMar 1, 2024 to Mar 13, 2025
- RAUM · $571M to $664MMar 1, 2024 to Mar 13, 2025
- Accounts · 66 to 82Mar 23, 2023 to Mar 1, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 1, 2024
- HNW clients · 38 to 61Mar 23, 2023 to Mar 1, 2024
- Pension plan clients · 27 to 21Mar 23, 2023 to Mar 1, 2024
- Financial planning clients · 11-25 to 26-50Mar 23, 2023 to Mar 1, 2024
- Discretionary RAUM · $179M to $210MMar 23, 2023 to Mar 1, 2024
- HNW RAUM · $169M to $198MMar 23, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $356M to $361MMar 23, 2023 to Mar 1, 2024
- Pension RAUM · $356M to $361MMar 23, 2023 to Mar 1, 2024
- RAUM · $535M to $571MMar 23, 2023 to Mar 1, 2024
- Accounts · 65 to 66Apr 6, 2022 to Mar 23, 2023
- HNW clients · 35 to 38Apr 6, 2022 to Mar 23, 2023
- Pension plan clients · 30 to 27Apr 6, 2022 to Mar 23, 2023
- Employees · 5 to 6Apr 6, 2022 to Mar 23, 2023
- Discretionary RAUM · $202M to $179MApr 6, 2022 to Mar 23, 2023
- HNW RAUM · $190M to $169MApr 6, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $391M to $356MApr 6, 2022 to Mar 23, 2023
- Pension RAUM · $391M to $356MApr 6, 2022 to Mar 23, 2023
- RAUM · $592M to $535MApr 6, 2022 to Mar 23, 2023
- Accounts · 64 to 65Nov 17, 2021 to Apr 6, 2022
- Charity clients · 2 to 1Nov 17, 2021 to Apr 6, 2022
- Discretionary RAUM · $186M to $202MNov 17, 2021 to Apr 6, 2022
- HNW RAUM · $174M to $190MNov 17, 2021 to Apr 6, 2022
- Non-discretionary RAUM · $296M to $391MNov 17, 2021 to Apr 6, 2022
- Pension RAUM · $296M to $391MNov 17, 2021 to Apr 6, 2022
- RAUM · $481M to $592MNov 17, 2021 to Apr 6, 2022
- Accounts · 86 to 64Apr 3, 2020 to Mar 22, 2021
- Discretionary RAUM · $168M to $186MApr 3, 2020 to Mar 22, 2021
- HNW RAUM · $168M to $174MApr 3, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $291M to $296MApr 3, 2020 to Mar 22, 2021
Signals
7 dated events
- D••••• • H••••• L••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $664.1M)Apr 1, 2026 · Left the SEC roster · derived
- K•••••• S••••• M••••••• left D••••• • H••••• L••• for C••••••• P••••••• (registered 2026-03-03)Mar 30, 2026 · Advisor changed firm · fact
- J••• C•••• H•••• left D••••• • H••••• L••• for C••••••• P••••••• (registered 2026-03-03)Mar 30, 2026 · Advisor changed firm · fact
- K••••• L•••• M••••••• left D••••• • H••••• L••• for C••••••• P••••••• (registered 2026-03-03)Mar 30, 2026 · Advisor changed firm · fact
- D••••• • H••••• L•••'s advisors moved to C••••••• P••••••• (Seattle, WA): 3 of 3 registered, on the same dayMar 30, 2026 · Firm absorbed (people side) · derived
- D••••• • H••••• L••• reported RAUM $376.0M, up 43% from $263.2M (2017-03-17 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- D••••• • H••••• L••• filed its initial SEC registration (Form ADV)Apr 29, 2014 · First SEC registration · 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