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
P•••••• A•••• M••••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Feb 4, 2002
RAUM
$385M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$371M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$77.0M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$385M as of Jun 11, 2026
Mar 30, 2012$121M then
HNW client RAUM$280M as of Jun 11, 2026
Mar 26, 2018$61.0M then
State-registered IARs (5.B.3)5 as of Jun 11, 2026
Mar 25, 20134 then
Employees (5.A)7 as of Jun 11, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +38% over the last fiscal year+18% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jun 11, 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
- $77.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $103M, 153 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)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$280M73%
- Individuals$91.5M24%
- Pension and profit-sharing plans$9.6M2.5%
- Corporations and businesses$4.0M1.0%
- Individual clients
- 248reported
- HNW clients
- 122reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 377reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 153 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| G••• L•• L•••Certified Financial Planner | Gig Harbor, Wa | Dec 15, 1998 | 41 y | 1 |
| B•••• W•••••••• C•• | Gig Harbor, Wa | Feb 9, 2009 | 18 y | 1 |
| J••••• A• M••••Certified Financial Planner | Gig Harbor, Wa | Jan 26, 2015 | 11 y | 1 |
| R•••• G•••••• L••••Certified Financial Planner | Gig Harbor, Wa | May 7, 2021 | 21 y | 7 |
| P•••• A•••••• S•••• | Gig Harbor, Wa | Nov 13, 2025 | 13 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
- E••• F••••• M••••••• to D••••••••• F••••••••• L••Nov 29, 2018 · RIA to RIA
- J•••• V••••••• B••••••••• to S•••••••• W••••• M••••••••• L••Dec 31, 2007 · Other
- T••• D•••• F•••• to S•••••••• W••••• M••••••••• L••Dec 31, 2007 · Other
- K••••••••• M••••••• V••••• to S•••••••• W••••• M••••••••• L••Dec 31, 2007 · Other
- W•••••• J••••• S••••••••• to S•••••••• W••••• M••••••••• L••Dec 31, 2007 · Other
Joined, latest
- R•••• G•••••• L•••• from N• S•••• • A••••••••• P•••May 7, 2021 · Other
- E••• F••••• M••••••• from A••••••••• F•••••••• S•••••••• L••Jan 13, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• B••••• W•••••••• · Managing Membercontrolsince 01/2012 · owns 25% to 50%
- C••• D•••••• F•••••• · Managing Membercontrolsince 11/1998 · owns 10% to 25%
- M••••• J•••••• A• · Chief Compliance Officercontrolsince 03/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- N•••••••• A••••••••• G••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gig Harbor, Wa · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Shelton, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $279,446,000 to $384,753,000 (+38.0%) between the annual amendments of 2025-03-18 and 2026-03-20; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 368 to 377Nov 26, 2025 to Mar 20, 2026
- HNW clients · 91 to 122Nov 26, 2025 to Mar 20, 2026
- Individual clients · 269 to 248Nov 26, 2025 to Mar 20, 2026
- Pension plan clients · 6 to 5Nov 26, 2025 to Mar 20, 2026
- Assets in custody · $93.8M to $103MNov 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $279M to $385MNov 26, 2025 to Mar 20, 2026
- HNW RAUM · $164M to $280MNov 26, 2025 to Mar 20, 2026
- Individual RAUM · $98.2M to $91.5MNov 26, 2025 to Mar 20, 2026
- Pension RAUM · $14.1M to $9.6MNov 26, 2025 to Mar 20, 2026
- RAUM · $279M to $385MNov 26, 2025 to Mar 20, 2026
- Advisory employees · 4 to 5Mar 18, 2025 to Nov 26, 2025
- Employees · 6 to 7Mar 18, 2025 to Nov 26, 2025
- State-registered IARs · 4 to 5Mar 18, 2025 to Nov 26, 2025
- Accounts · 372 to 368Feb 27, 2025 to Mar 18, 2025
- HNW clients · 90 to 91Feb 27, 2025 to Mar 18, 2025
- Individual clients · 274 to 269Feb 27, 2025 to Mar 18, 2025
- Assets in custody · $70.8M to $93.8MFeb 27, 2025 to Mar 18, 2025
- Financial planning clients · unset to Feb 27, 2025 to Mar 18, 2025
- Discretionary RAUM · $255M to $279MFeb 27, 2025 to Mar 18, 2025
- HNW RAUM · $146M to $164MFeb 27, 2025 to Mar 18, 2025
- Individual RAUM · $93.3M to $98.2MFeb 27, 2025 to Mar 18, 2025
- Pension RAUM · $12.3M to $14.1MFeb 27, 2025 to Mar 18, 2025
- RAUM · $255M to $279MFeb 27, 2025 to Mar 18, 2025
- Advisory employees · 5 to 4Feb 28, 2024 to Feb 27, 2025
- Employees · 7 to 6Feb 28, 2024 to Feb 27, 2025
- State-registered IARs · 5 to 4Feb 28, 2024 to Feb 27, 2025
- Accounts · 389 to 372Mar 17, 2023 to Feb 28, 2024
- HNW clients · 83 to 90Mar 17, 2023 to Feb 28, 2024
- Individual clients · 294 to 274Mar 17, 2023 to Feb 28, 2024
- Pension plan clients · 10 to 6Mar 17, 2023 to Feb 28, 2024
- Assets in custody · $70.8M to $70.8MMar 17, 2023 to Feb 28, 2024
- Discretionary RAUM · $236M to $255MMar 17, 2023 to Feb 28, 2024
- HNW RAUM · $87.1M to $146MMar 17, 2023 to Feb 28, 2024
- Individual RAUM · $132M to $93.3MMar 17, 2023 to Feb 28, 2024
- Pension RAUM · $14.7M to $12.3MMar 17, 2023 to Feb 28, 2024
- RAUM · $236M to $255MMar 17, 2023 to Feb 28, 2024
- Accounts · 400 to 389May 16, 2022 to Mar 17, 2023
- Charity clients · 1 to 0May 16, 2022 to Mar 17, 2023
- HNW clients · 77 to 83May 16, 2022 to Mar 17, 2023
- Individual clients · 310 to 294May 16, 2022 to Mar 17, 2023
Signals
2 dated events
- P•••••• A•••• M••••••••• L•• reported RAUM $384.8M, up 38% from $279.4M (2025-11-26 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- Lee Gary Lucy (Managing Member) no longer on Schedule A of P•••••• A•••• M••••••••• L•• (listed 2020-06-02, absent 2021-03-16)Mar 16, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 253-649-4600reportedpublic record, Form ADV, Jun 11, 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
- $77.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026