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
M•••••• F•••••••• A•••••••• L••
Latest filing Mar 31, 2025
First filing on the tape Mar 16, 2012 · 13 filings
SEC status approved since Jan 3, 2020
RAUM
$170M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$170M as of Mar 31, 2025
Mar 16, 2012$70.0M then
HNW client RAUM$26.0M as of Mar 31, 2025
Feb 7, 2020$46.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2025
Mar 16, 20120 then
Employees (5.A)1 as of Mar 31, 2025
Feb 7, 20201 then
Private funds: no history
RAUM +13% over the last fiscal year+4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $341,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$144M85%
- High-net-worth individuals$26.0M15%
- Individual clients
- 93reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 498reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- M•••••• J•••• M•••••• to W•••••• A•••••••• L••Apr 1, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• J•••• · Ceo,Chief Compliance Officercontrolsince 12/1999 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Burien, Wa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 518 to 498Mar 12, 2024 to Mar 31, 2025
- HNW clients · 53 to 5Mar 12, 2024 to Mar 31, 2025
- Individual clients · 43 to 93Mar 12, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Mar 31, 2025
- HQ city · unset to Mar 12, 2024 to Mar 31, 2025
- HQ state · unset to Mar 12, 2024 to Mar 31, 2025
- HNW RAUM · $122M to $26.0MMar 12, 2024 to Mar 31, 2025
- Individual RAUM · $29.0M to $144MMar 12, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $151M to $170MMar 12, 2024 to Mar 31, 2025
- RAUM · $151M to $170MMar 12, 2024 to Mar 31, 2025
- Accounts · 523 to 518Mar 14, 2023 to Mar 12, 2024
- HNW clients · 51 to 53Mar 14, 2023 to Mar 12, 2024
- Individual clients · 53 to 43Mar 14, 2023 to Mar 12, 2024
- HNW RAUM · $107M to $122MMar 14, 2023 to Mar 12, 2024
- Individual RAUM · $25.0M to $29.0MMar 14, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $132M to $151MMar 14, 2023 to Mar 12, 2024
- RAUM · $132M to $151MMar 14, 2023 to Mar 12, 2024
- Accounts · 549 to 523Mar 11, 2022 to Mar 14, 2023
- HNW clients · 48 to 51Mar 11, 2022 to Mar 14, 2023
- Individual clients · 57 to 53Mar 11, 2022 to Mar 14, 2023
- HNW RAUM · $110M to $107MMar 11, 2022 to Mar 14, 2023
- Individual RAUM · $41.0M to $25.0MMar 11, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $151M to $132MMar 11, 2022 to Mar 14, 2023
- RAUM · $151M to $132MMar 11, 2022 to Mar 14, 2023
- Accounts · 512 to 549Jan 22, 2021 to Mar 11, 2022
- HNW clients · 46 to 48Jan 22, 2021 to Mar 11, 2022
- Individual clients · 59 to 57Jan 22, 2021 to Mar 11, 2022
- HNW RAUM · $89.0M to $110MJan 22, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $130M to $151MJan 22, 2021 to Mar 11, 2022
- RAUM · $130M to $151MJan 22, 2021 to Mar 11, 2022
- Accounts · 537 to 512May 22, 2020 to Jan 22, 2021
- HNW clients · 16 to 46May 22, 2020 to Jan 22, 2021
- Individual clients · 83 to 59May 22, 2020 to Jan 22, 2021
- HNW RAUM · $46.0M to $89.0MMay 22, 2020 to Jan 22, 2021
- Individual RAUM · $71.0M to $41.0MMay 22, 2020 to Jan 22, 2021
- Non-discretionary RAUM · $117M to $130MMay 22, 2020 to Jan 22, 2021
- RAUM · $117M to $130MMay 22, 2020 to Jan 22, 2021
- Accounts · 443 to 537Feb 4, 2020 to Feb 7, 2020
- Charity clients · unset to 0.0Feb 4, 2020 to Feb 7, 2020
- Corporate clients · unset to 0.0Feb 4, 2020 to Feb 7, 2020
Signals
3 dated events
- M•••••• F•••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $170.0M)May 1, 2026 · Left the SEC roster · derived
- M•••••• J•••• M•••••• left M•••••• F•••••••• A•••••••• L•• for W•••••• A•••••••• L•• (registered 2026-03-13)Apr 1, 2026 · Advisor changed firm · fact
- M•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 4, 2019 · 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.
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