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
H••••••• F•••••••• G••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jan 26, 2012 · 19 filings
SEC status approved since Jun 5, 2018
RAUM
$187M
reported, Item 5.F
Discretionary
37%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$187M as of Mar 19, 2026
Feb 7, 2012$71.5M then
HNW client RAUM$162M as of Mar 19, 2026
Mar 22, 2019$91.4M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Feb 7, 20120 then
Employees (5.A)3 as of Mar 19, 2026
Mar 22, 20193 then
Private funds: no history
RAUM +9.5% over the last fiscal year+8.0% a year over threeIARs 3 to 3offices 4 to 3
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $62.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $701,125derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 37%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.9M, 45 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$162M86%
- Individuals$25.3M14%
- Individual clients
- 46reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 267reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9M for 45 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• D•• S••••••• | Woodinville, Wa | Nov 30, 1998 | 34 y | 0 |
| S••••• M• M••••• | Woodinville, Wa | Jan 16, 2004 | 22 y | 0 |
| B•••••• D•••••• S••••••• | Woodinville, Wa | Oct 6, 2014 | 14 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
- R••••• C••••••••• J••• · Membercontrolsince 10/1998 · owns 10% to 25%
- S•••••••• D••••••• D•• · Chief Compliance Officercontrolsince 11/1998 · owns less than 5%
- S•••••••• D••••••• D•• · Member & Managercontrolsince 04/2023 · owns 75% or more of S••••••• F••••• L••
- S•••••• H••••••• A••••• · Ownercontrolsince 12/2001 · owns 75% or more of H••• S•••••• I••• P•••
- W•••••••• D•••• D• · Economic Interest Ownersince 09/2024 · owns 10% to 25%
Entity owners
- H••• S•••••• I••• P••• · Memberdirect · owns 10% to 25%
- S••••••• F••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• J••• R••••insurancey
- H•••••• A••••• S•••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodinville, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 19, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-03-12, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 268 to 267Mar 12, 2025 to Mar 19, 2026
- HNW clients · 49 to 52Mar 12, 2025 to Mar 19, 2026
- Individual clients · 49 to 46Mar 12, 2025 to Mar 19, 2026
- Assets in custody · $46.9M to $2.9MMar 12, 2025 to Mar 19, 2026
- Other offices · 4 to 3Mar 12, 2025 to Mar 19, 2026
- Discretionary RAUM · $62.6M to $68.9MMar 12, 2025 to Mar 19, 2026
- HNW RAUM · $145M to $162MMar 12, 2025 to Mar 19, 2026
- Individual RAUM · $25.5M to $25.3MMar 12, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $108M to $118MMar 12, 2025 to Mar 19, 2026
- RAUM · $171M to $187MMar 12, 2025 to Mar 19, 2026
- Related insurance company · true to falseMar 12, 2025 to Mar 19, 2026
- Accounts · 266 to 268Jan 2, 2025 to Mar 12, 2025
- HNW clients · 44 to 49Jan 2, 2025 to Mar 12, 2025
- Individual clients · 56 to 49Jan 2, 2025 to Mar 12, 2025
- Assets in custody · $33.3M to $46.9MJan 2, 2025 to Mar 12, 2025
- Financial planning clients · 51-100 to 51-100Jan 2, 2025 to Mar 12, 2025
- Discretionary RAUM · $55.9M to $62.6MJan 2, 2025 to Mar 12, 2025
- HNW RAUM · $126M to $145MJan 2, 2025 to Mar 12, 2025
- Individual RAUM · $28.6M to $25.5MJan 2, 2025 to Mar 12, 2025
- Non-discretionary RAUM · $99.1M to $108MJan 2, 2025 to Mar 12, 2025
- RAUM · $155M to $171MJan 2, 2025 to Mar 12, 2025
- Accounts · 265 to 266Apr 27, 2023 to Mar 18, 2024
- HNW clients · 42 to 44Apr 27, 2023 to Mar 18, 2024
- Individual clients · 58 to 56Apr 27, 2023 to Mar 18, 2024
- Assets in custody · $38.5M to $33.3MApr 27, 2023 to Mar 18, 2024
- Other offices · 1 to 4Apr 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $56.5M to $55.9MApr 27, 2023 to Mar 18, 2024
- HNW RAUM · $118M to $126MApr 27, 2023 to Mar 18, 2024
- Individual RAUM · $30.1M to $28.6MApr 27, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $92.1M to $99.1MApr 27, 2023 to Mar 18, 2024
- RAUM · $149M to $155MApr 27, 2023 to Mar 18, 2024
- Accounts · 267 to 265Aug 10, 2022 to Mar 23, 2023
- HNW clients · 62 to 42Aug 10, 2022 to Mar 23, 2023
- Individual clients · 37 to 58Aug 10, 2022 to Mar 23, 2023
- Assets in custody · $28.8M to $38.5MAug 10, 2022 to Mar 23, 2023
- Financial planning clients · 1-10 to 51-100Aug 10, 2022 to Mar 23, 2023
- Discretionary RAUM · $63.1M to $56.5MAug 10, 2022 to Mar 23, 2023
- HNW RAUM · $150M to $118MAug 10, 2022 to Mar 23, 2023
- Individual RAUM · $14.6M to $30.1MAug 10, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $101M to $92.1MAug 10, 2022 to Mar 23, 2023
Signals
3 dated events
- Milton Gary Whitsell (Member) no longer on Schedule A of H••••••• F•••••••• G••••• L•• (listed 2024-03-18, absent 2024-10-03)Oct 3, 2024 · Control person left · inference
- Paul Donald Miller (Member) no longer on Schedule A of H••••••• F•••••••• G••••• L•• (listed 2018-06-13, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
- H••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 3, 2018 · First SEC registration · 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
- Website
- H•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-485-0381reportedpublic record, Form ADV, Mar 19, 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
- $62.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026