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
C••••••••• A••••••• I••
Latest filing Jun 26, 2020
First filing on the tape Mar 27, 2012 · 24 filings
RAUM
$4.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$2.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
40 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
21
$272M gross assets
History
24 filings and snapshots on the tape
RAUM$4.0B as of Mar 30, 2020
Mar 27, 2012$2.4B then
HNW client RAUM$2.1B as of Mar 30, 2020
Mar 29, 2018$683M then
State-registered IARs (5.B.3)35 as of Mar 30, 2020
Mar 27, 201320 then
Employees (5.A)55 as of Mar 30, 2020
Mar 27, 201350 then
Private funds21 as of Mar 30, 2020
Mar 27, 201217 then
RAUM +16% over the last fiscal year+5.9% a year over threeIARs 35 to 35offices 1 to 2
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $947,966derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 11.7derived3 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
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $1.8B, 498 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B54%
- Investment companies$857M22%
- Individuals$682M17%
- Pooled investment vehicles$285M7.2%
- Individual clients
- 677reported
- HNW clients
- 453reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,178reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 498 clientsreported
- 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
Left, latest
- D•••••• P•••••• H•••• to H•••••• I••••••••• C••••••• L••Jul 16, 2020 · RIA to RIA
- M•••••• L•• M••••••••• to H••••••• P•••••• W••••• M•••••••••Oct 7, 2019 · RIA to RIA
- T•••• O••••• K••••• to B••••• C•••••• M••••••••• I•••May 16, 2019 · RIA to RIA
- R•••• T• S••••• to A•••••••• W••••• A••••••• L••May 10, 2019 · RIA to a newly registered adviser
- J••••• R•• B•••• to A•••••••• W••••• A••••••• L••Jan 4, 2019 · RIA to a newly registered adviser
- M•••••• L••••• L•••••• to T••••••••• W•••••Oct 3, 2018 · RIA to RIA
- K•••• A••••• E••••• to V••••••• L••Aug 17, 2018 · RIA to RIA
- N••••••• E••• R••••• to O•• D•• W•••••Jan 25, 2018 · Other
- J•••• F••••• to F•••••••• A•••••••• I••••••••• M•••••••••Dec 18, 2017 · Other
- M•••••• C•••••••• B••••• to C••••••• P•••••• W••••• M•••••••••Apr 18, 2017 · Other
- J••••••• T••••• G••••• to F••••• I•••••••••Apr 11, 2017 · Other
- B•••• D••• F••••• to Z••••••••• C•••••• I••••••••• L••Jan 13, 2017 · Other
- S•••• D•••••• H••••••• to A•••••••• W••••• A••••••• L••Jan 13, 2017 · Other
- B••••••• W•••• to H••••••• P•••••• W••••• M•••••••••Oct 4, 2016 · Other
- C•••••••• M••••••• O•• to F•••••••• C•••••• M••••••••• L••Aug 16, 2014 · Other
Joined, latest
- K•••• L•••• P••••• from F•• F••••• W••••• A•••••••Jan 28, 2020 · RIA to RIA
- A••• C•••••••• J•••••• from L••Nov 5, 2019 · Other
- H•••• R•••••••• E••••••• from I•••••• M•••••• A•••••••• L••Nov 5, 2019 · Other
- R•••• T• S••••• from A••••••••• F•••••••• S•••••••• L••Oct 22, 2018 · Affiliated broker-dealer or bank to independent RIA
- S••••• A•••••• D•••••• from U•• F•••••••• S••••••• I•••Oct 22, 2018 · Wirehouse to independent RIA
- J•••• L•• T••••• from W•••••• • R•••Jun 7, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•••••• S•••••• B••••••• from C•••• N•••• W••••• M•••••••••May 2, 2018 · Other
- R•••• M••••••• H••••• from C••••••••• W••••• M•••••••••Apr 16, 2018 · RIA to RIA
- B•••• G••••• D•••• from T• A••••••••• I••••••••• M••••••••• L••Jan 25, 2018 · Other
- M•••••• D•••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 19, 2017 · Other
- J•••• F••••• from E••••• J••••Nov 7, 2016 · Other
- V•••• K••••• from C•••••••• G••••• M•••••• I•••Aug 12, 2016 · Other
- J•••• L••••••• M•••• from F••••• I•••••••••May 13, 2016 · Other
- J••••• R•• B•••• from C•••••• S••••• • C••• I•••Mar 22, 2016 · Other
- N••••••• E••• R••••• from W•••• F•••• A•••••••Mar 11, 2016 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• G••••• P••••••••• L•no longer reported | Other Private Fund | $65.5M | 73 | Mar 27, 2012 |
| C••••••••• T••••••••• I•••• P••••••••• L•no longer reported | Other Private Fund | $63.0M | 76 | Mar 27, 2012 |
| C••••••••• V•••• P••••••••• L•no longer reported | Other Private Fund | $62.6M | 73 | Mar 27, 2012 |
| C••••••••• G••••• O••••••••• F•••• L• | Other Private Fund | $11.7M | 74 | Mar 27, 2012 |
| C••••••••• I•••••••• • G•• I• L••no longer reported | Private Equity Fund | $3.8M | 35 | Mar 27, 2012 |
| C•• P•••••• E••••• L••no longer reported | Private Equity Fund | $2.1M | 46 | Mar 27, 2012 |
| B••• H••••••• L••no longer reported | Real Estate Fund | $1.8M | 29 | Mar 27, 2012 |
| S•• I•••••••• L••no longer reported | Private Equity Fund | $36,697 | 33 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••• B••••• F•••• · Chief Financial Officer/Director/Secretary Treasurercontrolsince 10/2004 · owns 10% to 25%
- H•••• K••••••• M•••••• · Chief Executive Officer/Director/Presidentcontrolsince 01/2011 · owns 10% to 25%
- H•••• J••••••• A••• · Chief Operating Officer/Chief Compliance Officer/Directorcontrolsince 01/2019 · owns less than 5%
- R•••• K••••••• H•••••• · Chief People Officer/Directorcontrolsince 01/2019 · owns less than 5%
- C••••••• L••••••• G•••••• · Directorsince 04/2013 · owns less than 5%
- D••••• D••••• W• · Shareholdersince 01/2011 · owns 10% to 25%
- F••••••••• D••••• K• · Shareholdersince 01/2019 · owns 5% to 10%
- K•••• D••••• · Shareholder/Directorsince 06/2007 · owns 10% to 25%
- M••••• S•••• · Directorsince 04/2016 · owns less than 5%
- P•••••••• S••••• E•••••••• · Shareholder/Directorsince 10/2005 · owns 10% to 25%
- S••••• L••••• R••••• · Directorsince 09/2018 · owns less than 5%
- T••••••• R•••••• F••••• S•••• · Shareholdersince 01/2011 · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••••• P•••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA6 employees
- Anchorage, AK2 employees
What changed
consecutive filings, newest first
- Accounts · 4,169 to 4,178Nov 4, 2019 to Mar 30, 2020
- Advisory activities · 5 to 6Nov 4, 2019 to Mar 30, 2020
- HNW clients · 348 to 453Nov 4, 2019 to Mar 30, 2020
- Individual clients · 847 to 677Nov 4, 2019 to Mar 30, 2020
- Pooled vehicle clients · 21 to 17Nov 4, 2019 to Mar 30, 2020
- Assets in custody · $1.8B to $1.8BNov 4, 2019 to Mar 30, 2020
- Private funds · 22 to 21Nov 4, 2019 to Mar 30, 2020
- Discretionary RAUM · $3.6B to $4.0BNov 4, 2019 to Mar 30, 2020
- HNW RAUM · $1.3B to $2.1BNov 4, 2019 to Mar 30, 2020
- Individual RAUM · $1.3B to $682MNov 4, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $212M to $285MNov 4, 2019 to Mar 30, 2020
- RAUM · $3.6B to $4.0BNov 4, 2019 to Mar 30, 2020
- Other offices · 1 to 2Jun 7, 2019 to Aug 1, 2019
- Accounts · 4,145 to 4,169Mar 29, 2019 to May 13, 2019
- HNW clients · 343 to 348Mar 29, 2019 to May 13, 2019
- Individual clients · 831 to 847Mar 29, 2019 to May 13, 2019
- Pooled vehicle clients · 22 to 21Mar 29, 2019 to May 13, 2019
- Discretionary RAUM · $3.4B to $3.6BMar 29, 2019 to May 13, 2019
- HNW RAUM · $740M to $1.3BMar 29, 2019 to May 13, 2019
- Individual RAUM · $712M to $1.3BMar 29, 2019 to May 13, 2019
- Pooled vehicle RAUM · $269M to $212MMar 29, 2019 to May 13, 2019
- RAUM · $3.4B to $3.6BMar 29, 2019 to May 13, 2019
- Accounts · 4,147 to 4,145Oct 25, 2018 to Mar 29, 2019
- Charity clients · 8.0 to unsetOct 25, 2018 to Mar 29, 2019
- HNW clients · 228 to 343Oct 25, 2018 to Mar 29, 2019
- Individual clients · 583 to 831Oct 25, 2018 to Mar 29, 2019
- Pooled vehicle clients · 21 to 22Oct 25, 2018 to Mar 29, 2019
- Assets in custody · $2.3B to $1.8BOct 25, 2018 to Mar 29, 2019
- Private funds · 20 to 22Oct 25, 2018 to Mar 29, 2019
- Discretionary RAUM · $3.7B to $3.4BOct 25, 2018 to Mar 29, 2019
- HNW RAUM · $683M to $740MOct 25, 2018 to Mar 29, 2019
- Individual RAUM · $139M to $712MOct 25, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $256M to $269MOct 25, 2018 to Mar 29, 2019
- RAUM · $3.7B to $3.4BOct 25, 2018 to Mar 29, 2019
- Accounts · 4,141 to 4,147Apr 18, 2017 to Mar 29, 2018
- Charity clients · unset to 8.0Apr 18, 2017 to Mar 29, 2018
- HNW clients · unset to 228.0Apr 18, 2017 to Mar 29, 2018
- Individual clients · unset to 583.0Apr 18, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 21.0Apr 18, 2017 to Mar 29, 2018
- Assets in custody · $461M to $2.3BApr 18, 2017 to Mar 29, 2018
Signals
1 dated events
- Phillip D•••••• Haack (Chief Client Relationship Officer/Vice President) no longer on Schedule A of C••••••••• A••••••• I•• (listed 2019-05-13, absent 2019-06-07)Jun 7, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C••••••••• A••••••• I•• · Private Equityshared crd · organization
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
Across the graphs
C••••••••• A••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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