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
M•••••• F•••••••• • C•••
Legal name M•••••• F•••••••• S•••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Jan 20, 2012 · 47 filings
SEC status approved since Jan 3, 2005
RAUM
$692M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$676M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$76.9M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$692M as of Jun 8, 2026
Jan 20, 2012$105M then
HNW client RAUM$506M as of Jun 8, 2026
Mar 27, 2018$72.7M then
State-registered IARs (5.B.3)10 as of Jun 8, 2026
Jan 20, 20120 then
Employees (5.A)18 as of Jun 8, 2026
Jan 15, 20139 then
Private funds: no history
RAUM +37% over the last fiscal year+37% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Jun 8, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $76.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $381,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $458M, 1,132 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$506M73%
- Individuals$170M25%
- Charitable organizations$16.1M2.3%
- Corporations and businesses$187,0120.0%
- Individual clients
- 408reported
- HNW clients
- 281reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,813reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $458M for 1,132 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••• R•• H••••••••Certified Financial Planner, Personal Financial Specialist | Everett, Wa | Nov 19, 2007 | 18 y | 0 |
| R••••• W••••• B•••• | Everett, Wa | Oct 10, 2008 | 37 y | 0 |
| J••• A••••• M•••• | Kirkland, Wa | Jan 8, 2016 | 14 y | 0 |
| B•••• K•••• E••••Personal Financial Specialist | Everett, Wa | Dec 7, 2016 | 36 y | 2 |
| A••••• G•••• C••••• | Tacoma, Wa | Sep 17, 2020 | 28 y | 2 |
| M•••••• J••• B••••Certified Financial Planner | Everett, Wa | Nov 17, 2020 | 29 y | 3 |
| M•••••• D•••• S•••• | Everett, Wa | Nov 19, 2020 | 28 y | 3 |
| N••••••• C••••• S•••••• | Everett, Wa | Feb 13, 2021 | 10 y | 0 |
| D••••••• M•••• M•••••• | Park City, Ut | May 9, 2022 | 12 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount1 left over 36 months
Left, latest
- N••••••• S•••••• W••• to A••••• F•••••••• S•••••••May 7, 2026 · RIA to a state-registered adviser
- J•••• F•••••••• D••••• to S••••• W••••• P•••••••• L••Sep 18, 2019 · RIA to a state-registered adviser
- D••• E••••• C••••••• to A•••••• W••••• M••••••••• L••Jun 3, 2019 · RIA to RIA
- J••• E•••• S••••••• to A• W••••• M••••••••• L••Dec 1, 2016 · Other
- D••••• S• K••• to B••••••••• S•••••••• W•••••• L••Apr 1, 2016 · Other
- D••• R•••••• C••••• to H•• A••••••• S••••••• L••Jan 12, 2016 · Other
- J•••• A••••• M••••• to F••••• I•••••••••Jan 12, 2011 · Other
Joined, latest
- N••••••• S•••••• W••• from T•••• I••••••••• M•••••••••Jan 20, 2023 · RIA to RIA
- D••••••• M•••• M•••••• from T••••• W•••••• L•••••May 9, 2022 · RIA to RIA
- M•••••• D•••• S•••• from C••••• I••••••••• A••••••• L••Nov 19, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J••• B•••• from C••••• I••••••••• A••••••• L••Nov 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- A••••• G•••• C••••• from W•••• F•••• A•••••••Sep 17, 2020 · Wirehouse to independent RIA
- J•••• F•••••••• D••••• from F••• S••••• F••••••••• L••Jul 4, 2019 · Other
- D••• E••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 21, 2018 · Wirehouse to independent RIA
- B•••• K•••• E•••• from M•••••• F••••• L••Dec 7, 2016 · Other
- D••••• S• K••• from T••••••• I••••••••• M••••••••• I•••Oct 13, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• I••••••••• A••••••• L••Nov 2, 2020 · Mountlake Terrace, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• B••••• K•••• · Managing Member, Chief Compliance Officercontrolsince 01/1995 · owns 50% to 75%
- H••••••••• K•••••• R•• · Co-Coocontrolsince 12/2021 · owns 10% to 25%
- H•••••• R••••••• P• · Managing Directorcontrolsince 10/2021 · owns less than 5%
- M••••• J•••• A••••• · Co-Coocontrolsince 12/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Everett, Wa · principal | 8 | 0 | 1 | ||
| Kirkland, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA2 employees
- Mountlake Terrace, WA2 employees
- Tacoma, WA2 employees
- Cottonwood Heights, UT1 employees
- Park City, UT1 employees
What changed
consecutive filings, newest first
- Accounts · 1,725 to 1,813Sep 26, 2025 to Mar 28, 2026
- Advisory activities · 5 to 4Sep 26, 2025 to Mar 28, 2026
- HNW clients · 200 to 281Sep 26, 2025 to Mar 28, 2026
- Individual clients · 471 to 408Sep 26, 2025 to Mar 28, 2026
- Assets in custody · $307M to $458MSep 26, 2025 to Mar 28, 2026
- Employees · 19 to 18Sep 26, 2025 to Mar 28, 2026
- Discretionary RAUM · $506M to $692MSep 26, 2025 to Mar 28, 2026
- HNW RAUM · $332M to $506MSep 26, 2025 to Mar 28, 2026
- Individual RAUM · $163M to $170MSep 26, 2025 to Mar 28, 2026
- RAUM · $506M to $692MSep 26, 2025 to Mar 28, 2026
- Accounts · 1,543 to 1,725Mar 25, 2024 to Mar 20, 2025
- Business name · M•••••• F•••••••• S•••••••• L•• to M•••••• F•••••••• • C•••Mar 25, 2024 to Mar 20, 2025
- HNW clients · 102 to 200Mar 25, 2024 to Mar 20, 2025
- Individual clients · 518 to 471Mar 25, 2024 to Mar 20, 2025
- Assets in custody · $228M to $307MMar 25, 2024 to Mar 20, 2025
- Employees · 21 to 19Mar 25, 2024 to Mar 20, 2025
- Financial planning clients · More than 500 to More than 500Mar 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $393M to $506MMar 25, 2024 to Mar 20, 2025
- HNW RAUM · $201M to $332MMar 25, 2024 to Mar 20, 2025
- Individual RAUM · $186M to $163MMar 25, 2024 to Mar 20, 2025
- RAUM · $393M to $506MMar 25, 2024 to Mar 20, 2025
- Accounts · 1,338 to 1,543Jan 2, 2024 to Mar 25, 2024
- Advisory employees · 10 to 12Jan 2, 2024 to Mar 25, 2024
- Advisory activities · 4 to 5Jan 2, 2024 to Mar 25, 2024
- HNW clients · 172 to 102Jan 2, 2024 to Mar 25, 2024
- Individual clients · 390 to 518Jan 2, 2024 to Mar 25, 2024
- Assets in custody · $129M to $228MJan 2, 2024 to Mar 25, 2024
- Employees · 18 to 21Jan 2, 2024 to Mar 25, 2024
- Financial planning clients · 251-500 to More than 500Jan 2, 2024 to Mar 25, 2024
- Discretionary RAUM · $269M to $393MJan 2, 2024 to Mar 25, 2024
- HNW RAUM · $165M to $201MJan 2, 2024 to Mar 25, 2024
- Individual RAUM · $99.6M to $186MJan 2, 2024 to Mar 25, 2024
- RAUM · $269M to $393MJan 2, 2024 to Mar 25, 2024
- Other offices · 4 to 5Mar 30, 2023 to Jan 2, 2024
- Accounts · 1,193 to 1,338May 18, 2022 to Mar 30, 2023
- Advisory employees · 9 to 10May 18, 2022 to Mar 30, 2023
- BD registered reps · 3 to 0May 18, 2022 to Mar 30, 2023
- HNW clients · 161 to 172May 18, 2022 to Mar 30, 2023
- Individual clients · 357 to 390May 18, 2022 to Mar 30, 2023
- Assets in custody · $122M to $129MMay 18, 2022 to Mar 30, 2023
Signals
7 dated events
- N••••••• S•••••• W••• left M•••••• F•••••••• • C••• for A••••• F•••••••• S••••••• (registered 2026-05-19)May 7, 2026 · Advisor changed firm · fact
- M•••••• F•••••••• • C••• reported RAUM $691.8M, up 37% from $505.7M (2025-09-26 to 2026-03-28)Mar 28, 2026 · RAUM change · derived
- M•••••• F•••••••• • C••• reported RAUM $505.7M, up 29% from $393.0M (2024-03-25 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- M•••••• F•••••••• • C••• reported RAUM $393.0M, up 46% from $268.8M (2024-01-02 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- P R•••••• H••••• (Managing Director) appeared on Schedule A of M•••••• F•••••••• • C•••Mar 25, 2024 · Control person joined · fact
- A••••• J••• M•••• (Co-Coo) appeared on Schedule A of M•••••• F•••••••• • C•••Jan 24, 2022 · Control person joined · fact
- Rae Kristi Henderson (Co-Coo) appeared on Schedule A of M•••••• F•••••••• • C•••Jan 24, 2022 · Control person joined · 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
- 844-623-7662reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-212-3777reportedpublic record, Form ADV, Jun 8, 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
- $76.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026