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•••••••• A•••••••
Legal name S•••••••• A•••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 22, 2012 · 29 filings
SEC status approved since Mar 24, 2008
RAUM
$387M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$386M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$64.5M
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
29 filings and snapshots on the tape
RAUM$387M as of Mar 24, 2026
Mar 22, 2012$145M then
HNW client RAUM$345M as of Mar 24, 2026
Feb 9, 2018$194M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Mar 22, 20120 then
Employees (5.A)11 as of Mar 24, 2026
Mar 28, 20139 then
Private funds: no history
RAUM -5.1% over the last fiscal year+10% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 24, 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
- $64.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $459,902derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- -5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $18.8M, 4 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
- 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$345M89%
- Individuals$41.4M11%
- Charitable organizations$871,7890.2%
- Individual clients
- 77reported
- HNW clients
- 112reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 842reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.8M for 4 clientsreported
- Compensation
- % of AUMreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L•• S•••••Certified Financial Planner | Olympia, Wa | Apr 15, 2004 | 22 y | 0 |
| K•••• M• R•••Certified Financial Planner | Olympia, Wa | Aug 15, 2005 | 23 y | 1 |
| B•• L••• J•••••••Certified Financial Planner, Personal Financial Specialist | Olympia, Wa | Mar 29, 2010 | 28 y | 2 |
| K••••• L••• W••••••Certified Financial Planner | Olympia, Wa | Oct 29, 2020 | 12 y | 0 |
| C••••••• N•••••• H••••••• | Olympia, Wa | May 26, 2022 | 19 y | 4 |
| A••••• A•••••• B••••Certified Financial Planner | Olympia, Wa | Nov 11, 2025 | 11 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
- B••••••• E••••• D•••• to R••••••••• S••••••••• I•••Sep 15, 2015 · Other
Joined, latest
- C••••••• N•••••• H••••••• from N••••••• F••••••••May 26, 2022 · Other
- B••••••• E••••• D•••• from C•••••• S••••• • C••• I•••Mar 3, 2014 · Other
- B•• L••• J••••••• from N•••••••• F•••••••• P•••••••• I•••Mar 29, 2010 · Other
- K•••• M• R••• from J••••• W••••• M•••••••••Aug 15, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• K••••• M• · Treasurer & Chief Technology Officercontrolsince 10/2009 · owns 25% to 50%
- S•••••• K••••• L•• · Presidentcontrolsince 01/2007 · owns 25% to 50%
- P•••••• N•••••• W••••• · Chief Operating Officer And Secretarysince 01/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Olympia, Wa · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 24, 2026discretionary share of RAUM moved from 84.0% to 100.0% between the annual amendments of 2025-03-13 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,084 to 842Sep 15, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Sep 15, 2025 to Mar 24, 2026
- HNW clients · 101 to 112Sep 15, 2025 to Mar 24, 2026
- Individual clients · 74 to 77Sep 15, 2025 to Mar 24, 2026
- Assets in custody · $24.1M to $18.8MSep 15, 2025 to Mar 24, 2026
- State-registered IARs · 5 to 6Sep 15, 2025 to Mar 24, 2026
- Discretionary RAUM · $343M to $387MSep 15, 2025 to Mar 24, 2026
- HNW RAUM · $363M to $345MSep 15, 2025 to Mar 24, 2026
- Individual RAUM · $43.8M to $41.4MSep 15, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $65.1M to $0Sep 15, 2025 to Mar 24, 2026
- RAUM · $408M to $387MSep 15, 2025 to Mar 24, 2026
- Accounts · 1,058 to 1,084Oct 30, 2024 to Mar 13, 2025
- Individual clients · 79 to 74Oct 30, 2024 to Mar 13, 2025
- Pension plan clients · 1.0 to unsetOct 30, 2024 to Mar 13, 2025
- Assets in custody · $27.3M to $24.1MOct 30, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Oct 30, 2024 to Mar 13, 2025
- Discretionary RAUM · $294M to $343MOct 30, 2024 to Mar 13, 2025
- HNW RAUM · $302M to $363MOct 30, 2024 to Mar 13, 2025
- Individual RAUM · $42.1M to $43.8MOct 30, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $51.3M to $65.1MOct 30, 2024 to Mar 13, 2025
- Pension RAUM · 55066.0 to unsetOct 30, 2024 to Mar 13, 2025
- RAUM · $345M to $408MOct 30, 2024 to Mar 13, 2025
- Accounts · 1,029 to 1,058Mar 9, 2023 to Mar 4, 2024
- Advisory employees · 6 to 5Mar 9, 2023 to Mar 4, 2024
- Charity clients · unset to 1.0Mar 9, 2023 to Mar 4, 2024
- HNW clients · 74 to 101Mar 9, 2023 to Mar 4, 2024
- Individual clients · 98 to 79Mar 9, 2023 to Mar 4, 2024
- Assets in custody · $21.1M to $27.3MMar 9, 2023 to Mar 4, 2024
- Employees · 12 to 11Mar 9, 2023 to Mar 4, 2024
- State-registered IARs · 6 to 5Mar 9, 2023 to Mar 4, 2024
- Discretionary RAUM · $260M to $294MMar 9, 2023 to Mar 4, 2024
- HNW RAUM · $235M to $302MMar 9, 2023 to Mar 4, 2024
- Individual RAUM · $56.0M to $42.1MMar 9, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $31.2M to $51.3MMar 9, 2023 to Mar 4, 2024
- Pension RAUM · $47,089 to $55,066Mar 9, 2023 to Mar 4, 2024
- RAUM · $291M to $345MMar 9, 2023 to Mar 4, 2024
- Accounts · 981 to 1,029Mar 21, 2022 to Mar 9, 2023
- HNW clients · 90 to 74Mar 21, 2022 to Mar 9, 2023
- Individual clients · 71 to 98Mar 21, 2022 to Mar 9, 2023
- Assets in custody · $25.0M to $21.1MMar 21, 2022 to Mar 9, 2023
Signals
1 dated events
- Rae Angella Creel (Chief Operating Officer/Secretary) no longer on Schedule A of S•••••••• A••••••• (listed 2020-06-10, absent 2021-03-11)Mar 11, 2021 · 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 email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-682-7713reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-867-9890reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/soundview-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-867-9890reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- s•••••••••.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
- $64.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026