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

H••• C•••••• M••••••••• I•••

Former SEC-registered adviserSpokane, WashingtonCRD 112108SEC 801-58297IAPD
Legal name C•• C•••••• M••••••••• I•••
Latest filing Jan 15, 2021
First filing on the tape Mar 28, 2012 · 30 filings
RAUM
$434M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
92%
$401M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$434M as of Feb 25, 2020
Mar 28, 2012$150M then
HNW client RAUM$328M as of Feb 25, 2020
Mar 29, 2018$264M then
State-registered IARs (5.B.3)8 as of Feb 25, 2020
Mar 28, 20130 then
Employees (5.A)12 as of Feb 25, 2020
Mar 28, 20139 then
Private funds: no history
RAUM +19% over the last fiscal year+8.6% a year over threeIARs 10 to 6
Practice profile
derived from the filing of Jan 15, 2021; every figure names its basis
RAUM per advisor
$72.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$431,870derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$188M, 248 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$328M76%
  • Individuals$72.2M17%
  • Pension and profit-sharing plans$26.8M6.2%
  • Corporations and businesses$3.3M0.8%
  • Charitable organizations$3.0M0.7%
Individual clients
211reported
HNW clients
176reported
Pension plan clients
7reported
Charitable clients
9reported
Accounts
1,004reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$188M for 248 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••• C••••• W•••••• · President, (Ceo), Chief Financial Officer And Directorcontrol
    since 02/1995 · owns less than 5%
  • O••••• E•••• G•••• K••••• · Chief Compliance Officer
    since 09/2019 · owns less than 5%
Entity owners
  • M••••• G••••• A••••••• I••• · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Coeur D'Alene, ID2 employees
What changed
consecutive filings, newest first
  • Advisory employees · 8 to 6
    Sep 25, 2020 to Oct 26, 2020
  • Employees · 12 to 11
    Sep 25, 2020 to Oct 26, 2020
  • State-registered IARs · 7 to 6
    Sep 25, 2020 to Oct 26, 2020
  • Advisory employees · 9 to 8
    Jul 7, 2020 to Sep 10, 2020
  • Employees · 13 to 12
    Jul 7, 2020 to Sep 10, 2020
  • State-registered IARs · 8 to 7
    Jul 7, 2020 to Sep 10, 2020
  • Employees · 12 to 13
    Jun 10, 2020 to Jul 7, 2020
  • Accounts · 1,050 to 1,004
    Jan 28, 2020 to Feb 25, 2020
  • Advisory employees · 10 to 9
    Jan 28, 2020 to Feb 25, 2020
  • Charity clients · 8 to 9
    Jan 28, 2020 to Feb 25, 2020
  • Corporate clients · 8 to 7
    Jan 28, 2020 to Feb 25, 2020
  • HNW clients · 149 to 176
    Jan 28, 2020 to Feb 25, 2020
  • Individual clients · 220 to 211
    Jan 28, 2020 to Feb 25, 2020
  • Assets in custody · $158M to $188M
    Jan 28, 2020 to Feb 25, 2020
  • Employees · 11 to 12
    Jan 28, 2020 to Feb 25, 2020
  • Financial planning clients · 11-25 to 51-100
    Jan 28, 2020 to Feb 25, 2020
  • Discretionary RAUM · $331M to $395M
    Jan 28, 2020 to Feb 25, 2020
  • HNW RAUM · $268M to $328M
    Jan 28, 2020 to Feb 25, 2020
  • Individual RAUM · $68.3M to $72.2M
    Jan 28, 2020 to Feb 25, 2020
  • Non-discretionary RAUM · $32.2M to $38.7M
    Jan 28, 2020 to Feb 25, 2020
  • Pension RAUM · $21.5M to $26.8M
    Jan 28, 2020 to Feb 25, 2020
  • RAUM · $364M to $434M
    Jan 28, 2020 to Feb 25, 2020
  • Advisory employees · 11 to 10
    Jan 7, 2020 to Jan 16, 2020
  • Employees · 12 to 11
    Jan 7, 2020 to Jan 16, 2020
  • State-registered IARs · 9 to 8
    Jan 7, 2020 to Jan 16, 2020
  • Advisory employees · 12 to 11
    Sep 16, 2019 to Jan 7, 2020
  • Employees · 13 to 12
    Sep 16, 2019 to Jan 7, 2020
  • State-registered IARs · 10 to 9
    Sep 16, 2019 to Jan 7, 2020
  • Accounts · 951 to 1,050
    Jan 14, 2019 to Mar 27, 2019
  • Advisory employees · 11 to 12
    Jan 14, 2019 to Mar 27, 2019
  • Charity clients · 9 to 8
    Jan 14, 2019 to Mar 27, 2019
  • Corporate clients · 7 to 8
    Jan 14, 2019 to Mar 27, 2019
  • HNW clients · 142 to 149
    Jan 14, 2019 to Mar 27, 2019
  • Individual clients · 240 to 220
    Jan 14, 2019 to Mar 27, 2019
  • Assets in custody · $250M to $158M
    Jan 14, 2019 to Mar 27, 2019
  • Employees · 12 to 13
    Jan 14, 2019 to Mar 27, 2019
  • Financial planning clients · 51-100 to 11-25
    Jan 14, 2019 to Mar 27, 2019
  • State-registered IARs · 0 to 10
    Jan 14, 2019 to Mar 27, 2019
  • Discretionary RAUM · $368M to $331M
    Jan 14, 2019 to Mar 27, 2019
  • HNW RAUM · $264M to $268M
    Jan 14, 2019 to Mar 27, 2019
Signals
1 dated events
  • H••• C•••••• M••••••••• I••• reported 10 state-registered advisory representatives, up from 0 (2019-01-14 to 2019-03-27)
    Mar 27, 2019 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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