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
S••••• C•••••• G•••• I••
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Apr 21, 2000
RAUM
$361M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$357M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$361M as of Mar 25, 2026
Mar 28, 2012$125M then
HNW client RAUM$336M as of Mar 25, 2026
Mar 21, 2018$213M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Mar 25, 20135 then
Employees (5.A)5 as of Mar 25, 2026
Mar 25, 20135 then
Private funds: no history
RAUM +8.4% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$336M93%
- Individuals$21.7M6.0%
- Charitable organizations$3.3M0.9%
- Individual clients
- 73reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 197reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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•••••• R••• C•••••• | Seattle, Wa | Apr 27, 2000 | 26 y | 0 |
| P•••• G• A•••• | Seattle, Wa | May 3, 2001 | 25 y | 0 |
| M•• M• M••••• | Seattle, Wa | May 23, 2001 | 26 y | 0 |
| S•••• A• M•••••• | Seattle, Wa | Sep 24, 2002 | 28 y | 0 |
| D•••• F••••••• H••• | Seattle, Wa | Jan 12, 2004 | 43 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
- C••••••• T••••••• R••• · Managing Director/Chief Compliance Officercontrolsince 04/2000 · owns 50% to 75%
- H•••• D••••• F••••••• · Managing Directorcontrolsince 08/2002 · owns 50% to 75%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 190 to 197Mar 11, 2025 to Mar 25, 2026
- Charity clients · 3 to 5Mar 11, 2025 to Mar 25, 2026
- HNW clients · 98 to 119Mar 11, 2025 to Mar 25, 2026
- Individual clients · 89 to 73Mar 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $333M to $361MMar 11, 2025 to Mar 25, 2026
- HNW RAUM · $300M to $336MMar 11, 2025 to Mar 25, 2026
- Individual RAUM · $30.1M to $21.7MMar 11, 2025 to Mar 25, 2026
- RAUM · $333M to $361MMar 11, 2025 to Mar 25, 2026
- Accounts · 185 to 190Mar 28, 2024 to Mar 11, 2025
- HNW clients · 96 to 98Mar 28, 2024 to Mar 11, 2025
- Individual clients · 86 to 89Mar 28, 2024 to Mar 11, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 11, 2025
- Discretionary RAUM · $299M to $333MMar 28, 2024 to Mar 11, 2025
- HNW RAUM · $266M to $300MMar 28, 2024 to Mar 11, 2025
- Individual RAUM · $31.5M to $30.1MMar 28, 2024 to Mar 11, 2025
- RAUM · $299M to $333MMar 28, 2024 to Mar 11, 2025
- Accounts · 190 to 185Mar 13, 2023 to Mar 28, 2024
- HNW clients · 92 to 96Mar 13, 2023 to Mar 28, 2024
- Individual clients · 95 to 86Mar 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $264M to $299MMar 13, 2023 to Mar 28, 2024
- HNW RAUM · $232M to $266MMar 13, 2023 to Mar 28, 2024
- Individual RAUM · $30.2M to $31.5MMar 13, 2023 to Mar 28, 2024
- RAUM · $264M to $299MMar 13, 2023 to Mar 28, 2024
- Accounts · 185 to 190Mar 17, 2022 to Mar 13, 2023
- HNW clients · 89 to 92Mar 17, 2022 to Mar 13, 2023
- Individual clients · 93 to 95Mar 17, 2022 to Mar 13, 2023
- Discretionary RAUM · $329M to $264MMar 17, 2022 to Mar 13, 2023
- HNW RAUM · $286M to $232MMar 17, 2022 to Mar 13, 2023
- Individual RAUM · $40.3M to $30.2MMar 17, 2022 to Mar 13, 2023
- RAUM · $329M to $264MMar 17, 2022 to Mar 13, 2023
- Accounts · 463 to 185Mar 24, 2021 to Mar 17, 2022
- HNW clients · 91 to 89Mar 24, 2021 to Mar 17, 2022
- Individual clients · 92 to 93Mar 24, 2021 to Mar 17, 2022
- Discretionary RAUM · $282M to $329MMar 24, 2021 to Mar 17, 2022
- HNW RAUM · $246M to $286MMar 24, 2021 to Mar 17, 2022
- Individual RAUM · $32.9M to $40.3MMar 24, 2021 to Mar 17, 2022
- RAUM · $282M to $329MMar 24, 2021 to Mar 17, 2022
- Accounts · 442 to 463Jul 27, 2020 to Mar 24, 2021
- HNW clients · 86 to 91Jul 27, 2020 to Mar 24, 2021
- Individual clients · 85 to 92Jul 27, 2020 to Mar 24, 2021
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
- Business phone
- 206-256-4416reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-256-4400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-256-4400reportedpublic record, Form ADV, Mar 25, 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
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026