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
W•••• • C•••••• F•••••••• P•••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Nov 14, 2011 · 9 filings
SEC status approved since Apr 19, 2024
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$150M as of Mar 25, 2026
Feb 9, 2012$42.3M then
HNW client RAUM$58.1M as of Mar 25, 2026
Apr 5, 2024$46.1M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Feb 9, 20120 then
Employees (5.A)4 as of Mar 25, 2026
Apr 5, 20245 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $223,925derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $45.0M, 50 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$91.7M61%
- High-net-worth individuals$58.1M39%
- Individual clients
- 267reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 669reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.0M for 50 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• A••••• W••••Certified Financial Planner, Personal Financial Specialist | Sunnyside, Wa | Oct 30, 2000 | 32 y | 0 |
| J•••• E••• P••••• | Sunnyside, Wa | Jul 19, 2002 | 27 y | 0 |
| M•••• D• W••••••••• | Sunnyside, Wa | Dec 8, 2006 | 21 y | 0 |
| G•••••• D• V••••• T•• | Sunnyside, Wa | Feb 26, 2008 | 29 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
- P•••••• J••••• E••• · Vice Presidentcontrolsince 04/2005 · owns 50% to 75%
- W••••• T•••••• A••••• · Chief Compliance Officercontrolsince 04/2005 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Sunnyside, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 658 to 669Mar 22, 2025 to Mar 25, 2026
- Advisory employees · 5 to 4Mar 22, 2025 to Mar 25, 2026
- Individual clients · 259 to 267Mar 22, 2025 to Mar 25, 2026
- Assets in custody · $41.8M to $45.0MMar 22, 2025 to Mar 25, 2026
- Employees · 5 to 4Mar 22, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 4Mar 22, 2025 to Mar 25, 2026
- Discretionary RAUM · $131M to $150MMar 22, 2025 to Mar 25, 2026
- HNW RAUM · $56.4M to $58.1MMar 22, 2025 to Mar 25, 2026
- Individual RAUM · $74.7M to $91.7MMar 22, 2025 to Mar 25, 2026
- RAUM · $131M to $150MMar 22, 2025 to Mar 25, 2026
- Accounts · 650 to 658Oct 1, 2024 to Mar 22, 2025
- HNW clients · 32 to 40Oct 1, 2024 to Mar 22, 2025
- Individual clients · 269 to 259Oct 1, 2024 to Mar 22, 2025
- Assets in custody · $39.5M to $41.8MOct 1, 2024 to Mar 22, 2025
- Financial planning clients · 0 to 1-10Oct 1, 2024 to Mar 22, 2025
- Discretionary RAUM · $115M to $131MOct 1, 2024 to Mar 22, 2025
- HNW RAUM · $46.1M to $56.4MOct 1, 2024 to Mar 22, 2025
- Individual RAUM · $69.3M to $74.7MOct 1, 2024 to Mar 22, 2025
- RAUM · $115M to $131MOct 1, 2024 to Mar 22, 2025
- Advisory activities · 3 to 2Apr 5, 2024 to Oct 1, 2024
- Accounts · 189 to 650Feb 9, 2012 to Mar 22, 2024
- Advisory employees · unset to 5.0Feb 9, 2012 to Mar 22, 2024
- Charity clients · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- Corporate clients · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- HNW clients · unset to 32.0Feb 9, 2012 to Mar 22, 2024
- Individual clients · unset to 269.0Feb 9, 2012 to Mar 22, 2024
- Pension plan clients · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- Pooled vehicle clients · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- Assets in custody · $1.2M to $39.5MFeb 9, 2012 to Mar 22, 2024
- Employees · unset to 5.0Feb 9, 2012 to Mar 22, 2024
- Financial planning clients · 26-50 to 0Feb 9, 2012 to Mar 22, 2024
- State-registered IARs · 0 to 5Feb 9, 2012 to Mar 22, 2024
- Other offices · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- Discretionary RAUM · $42.3M to $115MFeb 9, 2012 to Mar 22, 2024
- HNW RAUM · unset to 46139720.0Feb 9, 2012 to Mar 22, 2024
- Individual RAUM · unset to 69320967.0Feb 9, 2012 to Mar 22, 2024
- Pension RAUM · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 9, 2012 to Mar 22, 2024
- RAUM · $42.3M to $115MFeb 9, 2012 to Mar 22, 2024
- Accounts · 212 to 189Nov 14, 2011 to Jan 30, 2012
Signals
1 dated events
- W•••• • C•••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 22, 2024 · 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
- Business phone
- 509-837-6700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 509-837-8151reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W••••COCPA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 509-837-6700reportedpublic record, Form ADV, Mar 25, 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
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026