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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••••••• P•••• I•••
Latest filing Mar 16, 2026
First filing on the tape Oct 30, 2012 · 28 filings
SEC status approved since Nov 15, 2012
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.6B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.6B as of Mar 16, 2026
Mar 11, 2013$149M then
HNW client RAUM$1.1B as of Mar 16, 2026
Mar 22, 2018$254M then
State-registered IARs (5.B.3)11 as of Mar 16, 2026
Mar 11, 20134 then
Employees (5.A)12 as of Mar 16, 2026
Mar 11, 20136 then
Private funds: no history
RAUM +30% over the last fiscal year+24% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Mar 16, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $396,310derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.0M, 4 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)
- 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
- High-net-worth individuals$1.1B68%
- Individuals$511M32%
- Charitable organizations$9.2M0.6%
- Individual clients
- 596reported
- HNW clients
- 309reported
- Pension plan clients
- n/areported
- Charitable clients
- 19reported
- Accounts
- 4,049reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0M for 4 clientsreported
- 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
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B••••• T••••••Certified Financial Planner | Bellingham, Wa | Aug 13, 1997 | 42 y | 1 |
| D•••• A•••• D•••Certified Financial Planner | Bellingham, Wa | Mar 7, 2003 | 26 y | 1 |
| W•••••• D•••• W•••Certified Financial Planner | Bellingham, Wa | Aug 23, 2010 | 16 y | 1 |
| N••••• J•••• T••••••Certified Financial Planner | Bellingham, Wa | Dec 18, 2012 | 14 y | 0 |
| G•••••• A•••• T••••••Certified Financial Planner | Bellingham, Wa | Jan 26, 2016 | 11 y | 0 |
| J••••• L•••• G••••Certified Financial Planner | Bellingham, Wa | Dec 9, 2016 | 10 y | 0 |
| K••••• L••• B•••••• M•••••Certified Financial Planner | Bellingham, Wa | Apr 7, 2020 | 17 y | 0 |
| A••••• M••••• Z•••••Certified Financial Planner | Bellingham, Wa | Apr 7, 2020 | 17 y | 0 |
| D••••• A••••••• Q••••••• | Bellingham, Wa | Jun 2, 2023 | 13 y | 0 |
| M•••••• R••• T•••••• V• | Bellingham, Wa | Nov 25, 2025 | 12 y | 0 |
| L••• B•••• W••••• | Bellingham, Wa | Feb 17, 2026 | 12 y | 0 |
| Q•••• T••••• V••••• | Bellingham, Wa | Mar 20, 2026 | 11 y | 1 |
| L•••• C•••• L•• | Bellingham, Wa | Jun 5, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- T•• P••• B••••• to S••••••••• A•••••••Nov 22, 2024 · RIA to a state-registered adviser
Joined, latest
- L•••• C•••• L•• from T•••••• L••••• P•••••••• L••Jun 5, 2026 · RIA to RIA
- Q•••• T••••• V••••• from K••••• A••••••• S•••••••• L••Mar 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• D•••• W••• from L•• F•••••••• L••Aug 23, 2010 · Other
- D•••• A•••• D••• from L•• F•••••••• L••Mar 7, 2003 · Other
- J•••• B••••• T•••••• from L•• F•••••••• L••Aug 13, 1997 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• D••••• A•••• · Chief Compliance Officercontrolsince 01/2018 · owns 10% to 25%
- T••••••• G••••••• A•••• · Chief Personnel Officercontrolsince 01/2020 · owns 5% to 10%
- T••••••• J••••• B••••• · Chief Executive Officercontrolsince 08/1997 · owns 25% to 50%
- T••••••• N•••••• J•••• · Chief Technology Officercontrolsince 01/2015 · owns 10% to 25%
- W•••• W••••••• D•••• · Chief Investment Officercontrolsince 01/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bellingham, Wa · principal | 13 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,742 to 4,049Mar 19, 2025 to Mar 16, 2026
- Advisory employees · 9 to 11Mar 19, 2025 to Mar 16, 2026
- Charity clients · 14 to 19Mar 19, 2025 to Mar 16, 2026
- HNW clients · 229 to 309Mar 19, 2025 to Mar 16, 2026
- Individual clients · 603 to 596Mar 19, 2025 to Mar 16, 2026
- Assets in custody · $2.2M to $2.0MMar 19, 2025 to Mar 16, 2026
- Employees · 16 to 12Mar 19, 2025 to Mar 16, 2026
- State-registered IARs · 9 to 11Mar 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $1.2B to $1.6BMar 19, 2025 to Mar 16, 2026
- HNW RAUM · $716M to $1.1BMar 19, 2025 to Mar 16, 2026
- Individual RAUM · $506M to $511MMar 19, 2025 to Mar 16, 2026
- RAUM · $1.2B to $1.6BMar 19, 2025 to Mar 16, 2026
- Accounts · 3,426 to 3,742Dec 19, 2024 to Mar 19, 2025
- Advisory employees · 10 to 9Dec 19, 2024 to Mar 19, 2025
- Charity clients · 7 to 14Dec 19, 2024 to Mar 19, 2025
- HNW clients · 226 to 229Dec 19, 2024 to Mar 19, 2025
- Individual clients · 655 to 603Dec 19, 2024 to Mar 19, 2025
- Assets in custody · unset to 2203067.0Dec 19, 2024 to Mar 19, 2025
- Custody of client assets · false to trueDec 19, 2024 to Mar 19, 2025
- Employees · 17 to 16Dec 19, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 26-50Dec 19, 2024 to Mar 19, 2025
- State-registered IARs · 10 to 9Dec 19, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.1B to $1.2BDec 19, 2024 to Mar 19, 2025
- HNW RAUM · $628M to $716MDec 19, 2024 to Mar 19, 2025
- Individual RAUM · $417M to $506MDec 19, 2024 to Mar 19, 2025
- RAUM · $1.1B to $1.2BDec 19, 2024 to Mar 19, 2025
- Accounts · 3,108 to 3,426Mar 31, 2023 to Feb 12, 2024
- Advisory employees · 9 to 10Mar 31, 2023 to Feb 12, 2024
- Charity clients · 8 to 7Mar 31, 2023 to Feb 12, 2024
- HNW clients · 162 to 226Mar 31, 2023 to Feb 12, 2024
- Individual clients · 555 to 655Mar 31, 2023 to Feb 12, 2024
- Employees · 15 to 17Mar 31, 2023 to Feb 12, 2024
- State-registered IARs · 9 to 10Mar 31, 2023 to Feb 12, 2024
- Discretionary RAUM · $845M to $1.1BMar 31, 2023 to Feb 12, 2024
- HNW RAUM · $443M to $628MMar 31, 2023 to Feb 12, 2024
- Individual RAUM · $394M to $417MMar 31, 2023 to Feb 12, 2024
- RAUM · $845M to $1.1BMar 31, 2023 to Feb 12, 2024
- Accounts · 3,207 to 3,108Jan 6, 2023 to Mar 31, 2023
- Charity clients · unset to 8.0Jan 6, 2023 to Mar 31, 2023
- HNW clients · 192 to 162Jan 6, 2023 to Mar 31, 2023
Signals
6 dated events
- F•••••••• P•••• I••• reported RAUM $1.6B, up 30% from $1.2B (2025-03-19 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- T•• P••• B••••• left F•••••••• P•••• I••• for S••••••••• A••••••• (registered 2025-06-13)Nov 22, 2024 · Advisor changed firm · fact
- F•••••••• P•••• I••• reported RAUM $935.9M, up 31% from $713.0M (2021-09-23 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- F•••••••• P•••• I••• reported RAUM $713.0M, up 26% from $567.2M (2020-06-02 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- A•••• G•••••• T•••••• (Chief Personnel Officer) appeared on Schedule A of F•••••••• P•••• I•••Mar 28, 2020 · Control person joined · fact
- F•••••••• P•••• I••• filed its initial SEC registration (Form ADV)Oct 30, 2012 · 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 email
- info@financialplaninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-383-5764reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/3755810reportedpublic record, Form ADV, Sep 18, 2026
- Website
- F•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-714-1234reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- financialplaninc.com/about/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026