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
H•••••• I••••••••• M••••••••• L•••••
Latest filing Mar 10, 2026
First filing on the tape Feb 23, 2012 · 31 filings
SEC status approved since Jul 24, 1991
RAUM
$382M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
83%
$317M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$382M as of Mar 10, 2026
Feb 23, 2012$217M then
HNW client RAUM$269M as of Mar 10, 2026
Mar 26, 2018$195M then
State-registered IARs (5.B.3)5 as of Mar 10, 2026
Feb 23, 20120 then
Employees (5.A)6 as of Mar 10, 2026
Mar 8, 20133 then
Private funds: no history
RAUM -19% over the last fiscal year+1.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 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
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $773,956derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $104M, 101 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$269M70%
- Charitable organizations$58.0M15%
- Individuals$48.4M13%
- Pension and profit-sharing plans$6.1M1.6%
- Corporations and businesses$225,4950.1%
- Individual clients
- 99reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 493reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 101 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 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 |
|---|---|---|---|---|
| E•••• L•••• B•••••••••Chartered Financial Analyst | Edmonds, Wa | Jul 3, 2006 | 29 y | 0 |
| C••••• A••• H•••••• | Edmonds, Wa | Jul 21, 2017 | 23 y | 2 |
| A•••• K•••• S•••Certified Financial Planner | Portland, Or | Jul 21, 2017 | 24 y | 2 |
| M•••••• L•• G••••••••Chartered Financial Analyst | Edmonds, Wa | Jul 10, 2023 | 26 y | 0 |
| A•••• D••••• K••• | Edmonds, Wa | Apr 8, 2025 | 11 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 20% of current headcount1 left over 36 months
Left, latest
- H••• D••••• B••••••••• to B••••• • A••••••••• L••Oct 14, 2025 · Other
- F•••••••• J••••• P•••• to N•••••••• C•••••• M••••••••• I•••Jan 4, 2019 · Other
- S•••• A••• R••••• to C••• L••Jan 4, 2019 · RIA to affiliated broker-dealer or bank
- B•••• J•••• B••••••••• to B•••• I••••••••• M••••••••• L•••••Dec 31, 2008 · Other
Joined, latest
- F•••••••• J••••• P•••• from N•••••••• C•••••• M••••••••• I•••Aug 1, 2017 · Other
- A•••• K•••• S••• from N•••••••• C•••••• M••••••••• I•••Jul 21, 2017 · Other
- C••••• A••• H•••••• from N•••••••• C•••••• M••••••••• I•••Jul 21, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• E••••• L•••• · Portfolio Managercontrolsince 01/2007 · owns 5% to 10%
- S•••• A••••• K•••• · Ccocontrolsince 01/2024 · owns less than 5%
- S•••• A••••• K•••• · Membercontrolsince 01/2019 · owns 75% or more of P•••••• H•••••• A•••••••• L••
Entity owners
- P•••••• H•••••• A•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edmonds, Wa · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Portland, OR2 employees
What changed
consecutive filings, newest first
- Accounts · 564 to 493Nov 25, 2025 to Feb 17, 2026
- HNW clients · 96 to 78Nov 25, 2025 to Feb 17, 2026
- Assets in custody · unset to 104465246.0Nov 25, 2025 to Feb 17, 2026
- Custody of client assets · false to trueNov 25, 2025 to Feb 17, 2026
- Employees · 5 to 6Nov 25, 2025 to Feb 17, 2026
- Discretionary RAUM · $471M to $365MNov 25, 2025 to Feb 17, 2026
- HNW RAUM · $342M to $269MNov 25, 2025 to Feb 17, 2026
- Individual RAUM · $44.3M to $48.4MNov 25, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $0 to $16.9MNov 25, 2025 to Feb 17, 2026
- Pension RAUM · $28.6M to $6.1MNov 25, 2025 to Feb 17, 2026
- RAUM · $471M to $382MNov 25, 2025 to Feb 17, 2026
- Accounts · 548 to 564Feb 9, 2024 to Feb 18, 2025
- Advisory employees · 4 to 5Feb 9, 2024 to Feb 18, 2025
- Individual clients · 87 to 99Feb 9, 2024 to Feb 18, 2025
- Employees · 4 to 5Feb 9, 2024 to Feb 18, 2025
- Insurance-licensed employees · 0 to 2Feb 9, 2024 to Feb 18, 2025
- Financial planning clients · 11-25 to 26-50Feb 9, 2024 to Feb 18, 2025
- State-registered IARs · 4 to 5Feb 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $416M to $471MFeb 9, 2024 to Feb 18, 2025
- HNW RAUM · $312M to $342MFeb 9, 2024 to Feb 18, 2025
- Individual RAUM · $32.4M to $44.3MFeb 9, 2024 to Feb 18, 2025
- Pension RAUM · $35.5M to $28.6MFeb 9, 2024 to Feb 18, 2025
- RAUM · $416M to $471MFeb 9, 2024 to Feb 18, 2025
- Accounts · 522 to 548Feb 28, 2023 to Jan 18, 2024
- Advisory activities · 4 to 3Feb 28, 2023 to Jan 18, 2024
- Charity clients · 7 to 6Feb 28, 2023 to Jan 18, 2024
- Corporate clients · 4.0 to unsetFeb 28, 2023 to Jan 18, 2024
- HNW clients · 100 to 96Feb 28, 2023 to Jan 18, 2024
- Individual clients · 76 to 87Feb 28, 2023 to Jan 18, 2024
- Pension plan clients · 3.0 to unsetFeb 28, 2023 to Jan 18, 2024
- Discretionary RAUM · $368M to $416MFeb 28, 2023 to Jan 18, 2024
- HNW RAUM · $286M to $312MFeb 28, 2023 to Jan 18, 2024
- Individual RAUM · $23.9M to $32.4MFeb 28, 2023 to Jan 18, 2024
- Pension RAUM · $23.5M to $35.5MFeb 28, 2023 to Jan 18, 2024
- RAUM · $368M to $416MFeb 28, 2023 to Jan 18, 2024
- Accounts · 484 to 522Jan 30, 2023 to Feb 28, 2023
- Charity clients · 11 to 7Jan 30, 2023 to Feb 28, 2023
- HNW clients · 87 to 100Jan 30, 2023 to Feb 28, 2023
- Individual clients · 79 to 76Jan 30, 2023 to Feb 28, 2023
- Pension plan clients · 4 to 3Jan 30, 2023 to Feb 28, 2023
Signals
3 dated events
- H••• D••••• B••••••••• left H•••••• I••••••••• M••••••••• L••••• for B••••• • A••••••••• L•• (registered 1994-03-02)Oct 14, 2025 · Advisor changed firm · fact
- Joseph Frederick Payne (Director And Chief Compliance Officer) no longer on Schedule A of H•••••• I••••••••• M••••••••• L••••• (listed 2018-03-26, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Jameson Brent Petty (President) no longer on Schedule A of H•••••• I••••••••• M••••••••• L••••• (listed 2018-03-26, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
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
- Business phone
- 425-742-1557reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••••INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-742-1557reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026