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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SEC-registered adviser
A••••••• N•••••••• A••••••• S••••••• L•••••
Latest filing Mar 18, 2026
First filing on the tape Mar 9, 2012 · 22 filings
SEC status approved since Sep 29, 2000
RAUM
$41.3M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$41.3M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$8.3M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$41.3M as of Mar 18, 2026
Mar 9, 2012$204M then
HNW client RAUM$30.9M as of Mar 18, 2026
Mar 22, 2018$13.3M then
State-registered IARs (5.B.3)5 as of Mar 18, 2026
Feb 28, 20132 then
Employees (5.A)6 as of Mar 18, 2026
Feb 28, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+23% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 18, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $8.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $859,425derivedHNW RAUM over HNW clients
- Average account
- $434,916derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$30.9M75%
- Individuals$10.4M25%
- Individual clients
- 59reported
- HNW clients
- 36reported
- Pension plan clients
- 123reported
- Charitable clients
- n/areported
- Accounts
- 95reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• L• O••••Certified Financial Planner | Palm Beach Gardens, Fl | Mar 15, 1996 | 32 y | 0 |
| E•••• J••• C•• | Federal Way, Wa | Jun 17, 2015 | 11 y | 0 |
| T••••• D••••• O•••• | Federal Way, Wa | Sep 18, 2015 | 15 y | 0 |
| R••• R••••• D••••••••• | Federal Way, Wa | Dec 23, 2021 | 13 y | 0 |
| C••••••••• W• A••••• | Federal Way, Wa | Dec 24, 2024 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• T•••••• L• · Chief Compliance Officer/ Member Managercontrolsince 02/1996 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Federal Way, Wa · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 83 to 95Mar 31, 2025 to Mar 18, 2026
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 18, 2026
- Individual clients · 47 to 59Mar 31, 2025 to Mar 18, 2026
- Pension plan clients · 121 to 123Mar 31, 2025 to Mar 18, 2026
- Employees · 5 to 6Mar 31, 2025 to Mar 18, 2026
- State-registered IARs · 4 to 5Mar 31, 2025 to Mar 18, 2026
- Discretionary RAUM · $29.5M to $40.4MMar 31, 2025 to Mar 18, 2026
- HNW RAUM · $24.4M to $30.9MMar 31, 2025 to Mar 18, 2026
- Individual RAUM · $9.9M to $10.4MMar 31, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $4.8M to $880,000Mar 31, 2025 to Mar 18, 2026
- Pension RAUM · 0.0 to unsetMar 31, 2025 to Mar 18, 2026
- RAUM · $34.3M to $41.3MMar 31, 2025 to Mar 18, 2026
- Accounts · 72 to 83Mar 21, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Mar 21, 2024 to Mar 31, 2025
- HNW clients · 31 to 36Mar 21, 2024 to Mar 31, 2025
- Individual clients · 41 to 47Mar 21, 2024 to Mar 31, 2025
- Pension plan clients · 118 to 121Mar 21, 2024 to Mar 31, 2025
- Employees · 4 to 5Mar 21, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Mar 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $20.0M to $29.5MMar 21, 2024 to Mar 31, 2025
- HNW RAUM · $18.1M to $24.4MMar 21, 2024 to Mar 31, 2025
- Individual RAUM · $6.8M to $9.9MMar 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.8M to $4.8MMar 21, 2024 to Mar 31, 2025
- RAUM · $24.8M to $34.3MMar 21, 2024 to Mar 31, 2025
- Accounts · 65 to 72Aug 30, 2023 to Mar 21, 2024
- HNW clients · 32 to 31Aug 30, 2023 to Mar 21, 2024
- Individual clients · 33 to 41Aug 30, 2023 to Mar 21, 2024
- Pension plan clients · 119 to 118Aug 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $18.0M to $20.0MAug 30, 2023 to Mar 21, 2024
- HNW RAUM · $16.8M to $18.1MAug 30, 2023 to Mar 21, 2024
- Individual RAUM · $4.5M to $6.8MAug 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $3.3M to $4.8MAug 30, 2023 to Mar 21, 2024
- Pension RAUM · unset to 0.0Aug 30, 2023 to Mar 21, 2024
- RAUM · $21.3M to $24.8MAug 30, 2023 to Mar 21, 2024
- Accounts · 53 to 65Mar 27, 2022 to Apr 27, 2023
- Advisory employees · 4 to 3Mar 27, 2022 to Apr 27, 2023
- HNW clients · 30 to 32Mar 27, 2022 to Apr 27, 2023
- Individual clients · 23 to 33Mar 27, 2022 to Apr 27, 2023
- Pension plan clients · 116 to 119Mar 27, 2022 to Apr 27, 2023
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.
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 253-815-6564reportedpublic record, Form ADV, Mar 18, 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
- $8.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026