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
B••• F•••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 27, 2012 · 15 filings
SEC status approved since Jun 16, 2021
RAUM
$332M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$330M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$332M as of Mar 27, 2026
Mar 27, 2012$43.2M then
HNW client RAUM$302M as of Mar 27, 2026
Mar 11, 2022$261M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 11, 20221 then
Employees (5.A)3 as of Mar 27, 2026
Mar 11, 20221 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$302M91%
- Individuals$27.3M8.2%
- Pension and profit-sharing plans$2.0M0.6%
- Individual clients
- 59reported
- HNW clients
- 30reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•••••• S•••••Certified Financial Planner | Seattle, Wa | Oct 30, 2000 | 28 y | 0 |
| L• T•••Chartered Financial Analyst | Seattle, Wa | May 7, 2024 | 21 y | 1 |
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 headcount1 left over 36 months
Left, latest
- A••• T•••• N••••• to U••••• C•••••• F•••••••• A•••••••May 3, 2024 · RIA to RIA
- D•••• H••••• L••• to B••••••• J•••• L••Nov 18, 2011 · Other
Joined, latest
- L• T••• from R••••••••• C••••••• L••May 7, 2024 · Other
- A••• T•••• N••••• from E••••• J••••Jul 14, 2017 · Other
- D•••• H••••• L••• from F•••• C•••••• F•••••••• P•••••••• I•••Nov 22, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• W••••••• F•••••• · President/Manager - Chief Compliance Officercontrolsince 07/2001 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $10,076,513 against a peer median of $2,404,040 (4940 comparable advisers, 100.0th percentile, 5.2 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 85 to 84Mar 14, 2025 to Mar 27, 2026
- HNW clients · 27 to 30Mar 14, 2025 to Mar 27, 2026
- Individual clients · 57 to 59Mar 14, 2025 to Mar 27, 2026
- Employees · 2 to 3Mar 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $287M to $327MMar 14, 2025 to Mar 27, 2026
- HNW RAUM · $246M to $302MMar 14, 2025 to Mar 27, 2026
- Individual RAUM · $43.4M to $27.3MMar 14, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $3.9M to $4.4MMar 14, 2025 to Mar 27, 2026
- Pension RAUM · $1.9M to $2.0MMar 14, 2025 to Mar 27, 2026
- RAUM · $291M to $332MMar 14, 2025 to Mar 27, 2026
- Accounts · 80 to 85Jul 26, 2024 to Mar 14, 2025
- HNW clients · 30 to 27Jul 26, 2024 to Mar 14, 2025
- Individual clients · 50 to 57Jul 26, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 1-10Jul 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $256M to $287MJul 26, 2024 to Mar 14, 2025
- HNW RAUM · $240M to $246MJul 26, 2024 to Mar 14, 2025
- Individual RAUM · $18.4M to $43.4MJul 26, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $3.6M to $3.9MJul 26, 2024 to Mar 14, 2025
- Pension RAUM · $1.2M to $1.9MJul 26, 2024 to Mar 14, 2025
- RAUM · $260M to $291MJul 26, 2024 to Mar 14, 2025
- Other offices · 0 to 1May 3, 2024 to Jul 26, 2024
- Accounts · 82 to 80Jan 31, 2024 to Mar 27, 2024
- Individual clients · 51 to 50Jan 31, 2024 to Mar 27, 2024
- Discretionary RAUM · $218M to $256MJan 31, 2024 to Mar 27, 2024
- HNW RAUM · $203M to $240MJan 31, 2024 to Mar 27, 2024
- Individual RAUM · $17.2M to $18.4MJan 31, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $3.3M to $3.6MJan 31, 2024 to Mar 27, 2024
- Pension RAUM · $873,542 to $1.2MJan 31, 2024 to Mar 27, 2024
- RAUM · $221M to $260MJan 31, 2024 to Mar 27, 2024
- Advisory employees · 1 to 2Mar 29, 2023 to Jan 31, 2024
- Employees · 1 to 2Mar 29, 2023 to Jan 31, 2024
- State-registered IARs · 1 to 2Mar 29, 2023 to Jan 31, 2024
- Accounts · 79 to 82Mar 11, 2022 to Mar 29, 2023
- HNW clients · 25 to 30Mar 11, 2022 to Mar 29, 2023
- Individual clients · 53 to 51Mar 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $281M to $218MMar 11, 2022 to Mar 29, 2023
- HNW RAUM · $261M to $203MMar 11, 2022 to Mar 29, 2023
- Individual RAUM · $22.4M to $17.2MMar 11, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $3.7M to $3.3MMar 11, 2022 to Mar 29, 2023
- Pension RAUM · $980,759 to $873,542Mar 11, 2022 to Mar 29, 2023
Signals
2 dated events
- A••• T•••• N••••• left B••• F•••••••• A•••••••• L•• for U••••• C•••••• F•••••••• A••••••• (registered 2024-04-23)May 3, 2024 · Advisor changed firm · fact
- B••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 7, 2021 · ria f•••• adv filing · 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
- 206-447-1581reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-682-4840reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-466-2896reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-682-4840reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- bbjsadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- bbjsadvisors.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026