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.
SEC-registered adviser
P••••••• H••••••• W••••• A•••••••• I•••
Latest filing Apr 27, 2026
First filing on the tape Mar 21, 2012 · 29 filings
SEC status approved since Sep 26, 1983
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$1.2B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
19
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.6B as of Apr 27, 2026
Mar 21, 2012$379M then
HNW client RAUM$858M as of Apr 27, 2026
Mar 15, 2018$262M then
State-registered IARs (5.B.3)19 as of Apr 27, 2026
Mar 21, 20120 then
Employees (5.A)19 as of Apr 27, 2026
Mar 15, 201319 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 21 to 19offices 1 to 2
Practice profile
derived from the filing of Apr 27, 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
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $457,850derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$858M54%
- Pension and profit-sharing plans$335M21%
- Individuals$320M20%
- Corporations and businesses$39.5M2.5%
- Charitable organizations$21.1M1.3%
- Insurance companies$3.3M0.2%
- Individual clients
- 858reported
- HNW clients
- 374reported
- Pension plan clients
- 64reported
- Charitable clients
- 8reported
- Accounts
- 3,444reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• A•••• S••••• | Kennewick, Wa | Oct 12, 1995 | 32 y | 1 |
| M•••••• L•• N••• | Kennewick, Wa | Oct 30, 2000 | 27 y | 1 |
| B••••• A••••• C••• | Kennewick, Wa | Aug 27, 2004 | 24 y | 0 |
| J••••• J•••• C••••••••• | Kennewick, Wa | Jun 15, 2007 | 20 y | 0 |
| D•••• E•••••••• G••••• | Kennewick, Wa | Aug 14, 2007 | 25 y | 0 |
| M•••••• J•••• P••••••• | Kennewick, Wa | Mar 14, 2013 | 13 y | 0 |
| B•• C•••• T•••• | Kennewick, Wa | Oct 14, 2016 | 27 y | 5 |
| C••• T•• B••••• | Kennewick, Wa | Jan 27, 2017 | 12 y | 0 |
| H•••• A••••• M•••• J•••••• | Kennewick, Wa | Nov 12, 2019 | 12 y | 0 |
| J••• S•••• K•••• | Kennewick, Wa | Feb 18, 2020 | 15 y | 3 |
| C•••••• J•••• R••••••• | Kennewick, Wa | Nov 12, 2020 | 10 y | 0 |
| R••••• E•••••••• C•••••Certified Financial Planner | Kennewick, Wa | Jul 20, 2022 | 15 y | 1 |
| L•••••••• X•• M•••••••• | Kennewick, Wa | Nov 28, 2022 | 14 y | 0 |
| M••••• J••••••••• L••••• | Kennewick, Wa | Aug 12, 2024 | 12 y | 0 |
| S•••• L• L••••• | Kennewick, Wa | Oct 15, 2024 | 12 y | 3 |
| A••••• J•••• B•••••• | Kennewick, Wa | Jun 14, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.3% of current headcount2 left over 36 months
Left, latest
- N••••••• J•••• L••••••• to B••••• P••••• A•••••••• L••Feb 19, 2026 · RIA to RIA
- T•••• L•••• B•••• to A•••• P•••••••• L••Sep 9, 2024 · RIA to RIA
- J•••• W• P•••••• to L•• F•••••••• L••May 10, 2023 · RIA to affiliated broker-dealer or bank
- K•••• J•••• F•••• to H•• A•••••••• I•••Jan 11, 2017 · Other
- G•••••• G••••• D••• to C••••••••• W••••• M•••••••••Jan 14, 2016 · Other
- K•••••• M••• R•••• to S••••• W••••• M•••••••••Oct 25, 2013 · Other
- J••••• S•••• N••••••••• to K••••• F•••••••• P•••••••Apr 9, 2013 · Other
- B•••• W••• B••••••• to B••••••• W••••• M••••••••• I•••Aug 20, 2012 · Other
- J•• D•• L••• to T••••• T••••• I••••••••• A•••••••• L••Sep 4, 2003 · Other
Joined, latest
- S•••• L• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 15, 2024 · Wirehouse to independent RIA
- R••••• E•••••••• C••••• from C•••••• C•••••• M••••••••• L••Jul 20, 2022 · RIA to RIA
- J••• S•••• K•••• from C••••• I••••••••• A••••••• L••Feb 18, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• W• P•••••• from W•••••• • R•••Aug 24, 2018 · Other
- B•• C•••• T•••• from S•••••• P••••••• I••••••••• S••••••••• L••Oct 14, 2016 · Other
- J•• D•• L••• from W••••• A•••• M•••••••Sep 24, 2002 · Other
- B•••• W••• B••••••• from W••••• A•••• M•••••••Sep 24, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J•••••• A•••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- C•••• B•••••• A••••• · Treasurercontrolsince 01/2007 · owns 25% to 50%
- G•••••• D••••• E•••••••• · Chief Compliance Operations Officercontrolsince 09/2025 · owns 5% to 10%
- N•••• M••••••• L•• · Vice-Presidentcontrolsince 01/2026 · owns less than 5%
- P•••••••• M••••••• J•••• · Secretarycontrolsince 01/2019 · owns 25% to 50%
- S•••••• S••••• A•••• · Chief Executive Officer, Presidentcontrolsince 02/2002 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Kennewick, Wa · principal | 16 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Walla Walla, WA3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 27, 2026G•••••• D••••• E•••••••• (CHIEF COMPLIANCE OPERATIONS OFFICER) appeared on Schedule A between the filings of 2023-03-17 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 27, 2026B•••• J•••••• A•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-03-17 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,034 to 3,444Sep 16, 2025 to Mar 26, 2026
- Advisory employees · 18 to 16Sep 16, 2025 to Mar 26, 2026
- Advisory activities · 5 to 4Sep 16, 2025 to Mar 26, 2026
- Charity clients · 6 to 8Sep 16, 2025 to Mar 26, 2026
- Corporate clients · 7 to 5Sep 16, 2025 to Mar 26, 2026
- HNW clients · 284 to 374Sep 16, 2025 to Mar 26, 2026
- Individual clients · 772 to 858Sep 16, 2025 to Mar 26, 2026
- Pension plan clients · 54 to 64Sep 16, 2025 to Mar 26, 2026
- Employees · 21 to 19Sep 16, 2025 to Mar 26, 2026
- State-registered IARs · 21 to 19Sep 16, 2025 to Mar 26, 2026
- Other offices · 1 to 2Sep 16, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.3B to $1.6BSep 16, 2025 to Mar 26, 2026
- HNW RAUM · $659M to $858MSep 16, 2025 to Mar 26, 2026
- Individual RAUM · $288M to $320MSep 16, 2025 to Mar 26, 2026
- Pension RAUM · $274M to $335MSep 16, 2025 to Mar 26, 2026
- RAUM · $1.3B to $1.6BSep 16, 2025 to Mar 26, 2026
- Accounts · 2,691 to 3,034Sep 9, 2024 to Mar 28, 2025
- Advisory employees · 15 to 18Sep 9, 2024 to Mar 28, 2025
- Corporate clients · 6 to 7Sep 9, 2024 to Mar 28, 2025
- HNW clients · 233 to 284Sep 9, 2024 to Mar 28, 2025
- Individual clients · 719 to 772Sep 9, 2024 to Mar 28, 2025
- Pension plan clients · 53 to 54Sep 9, 2024 to Mar 28, 2025
- Employees · 19 to 21Sep 9, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Sep 9, 2024 to Mar 28, 2025
- State-registered IARs · 19 to 21Sep 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.3BSep 9, 2024 to Mar 28, 2025
- HNW RAUM · $511M to $659MSep 9, 2024 to Mar 28, 2025
- Individual RAUM · $270M to $288MSep 9, 2024 to Mar 28, 2025
- Pension RAUM · $290M to $274MSep 9, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.3BSep 9, 2024 to Mar 28, 2025
- Business name · P••••••• H••••••• I••••••••• M••••••••• I•• to P••••••• H••••••• W••••• A•••••••• I•••Feb 15, 2024 to Feb 19, 2024
- Legal name · P••••••• H••••••• I••••••••• M••••••••• I•• to P••••••• H••••••• W••••• A•••••••• I•••Feb 15, 2024 to Feb 19, 2024
- Accounts · 2,386 to 2,691Apr 17, 2023 to Feb 15, 2024
- Advisory employees · 14 to 15Apr 17, 2023 to Feb 15, 2024
- Charity clients · 5 to 6Apr 17, 2023 to Feb 15, 2024
- Corporate clients · unset to 6.0Apr 17, 2023 to Feb 15, 2024
- HNW clients · 188 to 233Apr 17, 2023 to Feb 15, 2024
- Individual clients · 682 to 719Apr 17, 2023 to Feb 15, 2024
- Pension plan clients · 52 to 53Apr 17, 2023 to Feb 15, 2024
- Employees · 17 to 19Apr 17, 2023 to Feb 15, 2024
Signals
6 dated events
- N••••••• J•••• L••••••• left P••••••• H••••••• W••••• A•••••••• I••• for B••••• P••••• A•••••••• L•• (registered 2026-08-18)Feb 19, 2026 · Advisor changed firm · fact
- T•••• L•••• B•••• left P••••••• H••••••• W••••• A•••••••• I••• for A•••• P•••••••• L•• (registered 2024-09-27)Sep 9, 2024 · Advisor changed firm · fact
- J•••• W• P•••••• left P••••••• H••••••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-01-07)May 10, 2023 · Advisor changed firm · fact
- A•••• J••••• B••• (Chief Compliance Officer) appeared on Schedule A of P••••••• H••••••• W••••• A•••••••• I•••Mar 17, 2023 · Control person joined · fact
- Carlisle Jeffrey Petersen (Shareholder) no longer on Schedule A of P••••••• H••••••• W••••• A•••••••• I••• (listed 2020-06-30, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- J•••• Matthew Petersen (Chief Compliance Officer) appeared on Schedule A of P••••••• H••••••• W••••• A•••••••• I•••Mar 15, 2019 · Control person joined · fact
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
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••-H•••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- growwealthds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-735-0484reportedpublic record, Form ADV, Apr 27, 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026