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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Former SEC-registered adviser
S•••••••• • A••••••••• I•••
Latest filing May 30, 2025
First filing on the tape Mar 31, 2015 · 23 filings
SEC status approved since Apr 29, 2015
RAUM
$420M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$420M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$420M as of May 30, 2025
Mar 23, 2016$95.1M then
HNW client RAUM$293M as of May 30, 2025
Mar 30, 2018$23.8M then
State-registered IARs (5.B.3)6 as of May 30, 2025
Mar 23, 20163 then
Employees (5.A)16 as of May 30, 2025
Mar 23, 20165 then
Private funds: no history
RAUM +8.7% over the last fiscal year+10% a year over threeIARs 7 to 6offices 1 to 3
Practice profile
derived from the filing of May 30, 2025; every figure names its basis
- RAUM per advisor
- $70.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $207,038derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $387MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$293M70%
- Individuals$128M30%
- Individual clients
- 374reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,030reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Left, latest
- L••• D••••• E••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- E••••• P••• H••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- F•••• L•• S•••••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- J••• J••••• R•••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- M•••• V•••••• S•••••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- J•••• C•••••• S•••••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- C•••••••• J• G••••••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- J•••• T••••• F••••• to L•• F•••••••• L••Sep 16, 2024 · RIA to affiliated broker-dealer or bank
- R••• C•••• C••••• to J••••• F••••••••Apr 3, 2024 · RIA to RIA
Joined, latest
- R••• C•••• C••••• from F•••••••• I••••••• W••••• M•••••••••Oct 3, 2023 · RIA to RIA
- J•••• T••••• F••••• from L•• F•••••••• L••Feb 1, 2023 · RIA to RIA
- J••• J••••• R•••••• from S••••• F•••••••• G•••• I••May 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• M•••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- H•••• E•••••• P••• · Chief Investment Officercontrolsince 01/2023 · owns less than 5%
- S••••••••• F••••• L•• · Foundercontrolsince 01/2023 · owns 25% to 50%
- C•••• C•••••••• M•••• · Chief Operations Officersince 01/2023 · owns less than 5%
- S••••••••• J••••• C•••••• · Co-Ceosince 01/2023 · owns 10% to 25%
- S••••••••• M••••• V•••••• · Co-Ceosince 01/2023 · owns 10% to 25%
- S••••••••• R•••• C•••••• · Foundersince 01/2023 · 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 |
|---|---|---|---|---|---|
| Ocean Shores, Wa | 0 | 0 | 1 | ||
| Anchorage, Ak · principal | 0 | 0 | 6 |
Offices
Schedule D 1.F, the 25 largest
- Big Lake, AK1 employees
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Apr 17, 2025 to May 30, 2025
- Accounts · 2,309 to 2,030Apr 9, 2024 to Apr 17, 2025
- Advisory employees · 7 to 6Apr 9, 2024 to Apr 17, 2025
- HNW clients · 129 to 139Apr 9, 2024 to Apr 17, 2025
- Individual clients · 377 to 374Apr 9, 2024 to Apr 17, 2025
- State-registered IARs · 7 to 6Apr 9, 2024 to Apr 17, 2025
- Other offices · 1 to 3Apr 9, 2024 to Apr 17, 2025
- Discretionary RAUM · $340M to $392MApr 9, 2024 to Apr 17, 2025
- HNW RAUM · $272M to $293MApr 9, 2024 to Apr 17, 2025
- Individual RAUM · $96.0M to $128MApr 9, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $47.2M to $28.5MApr 9, 2024 to Apr 17, 2025
- RAUM · $387M to $420MApr 9, 2024 to Apr 17, 2025
- Accounts · 2,098 to 2,309Mar 27, 2023 to Mar 13, 2024
- HNW clients · 113 to 129Mar 27, 2023 to Mar 13, 2024
- Individual clients · 394 to 377Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $294M to $340MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $208M to $272MMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $99.1M to $96.0MMar 27, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $30.5M to $47.2MMar 27, 2023 to Mar 13, 2024
- RAUM · $324M to $387MMar 27, 2023 to Mar 13, 2024
- Accounts · 1,755 to 2,098Aug 3, 2022 to Mar 27, 2023
- Advisory employees · 6 to 7Aug 3, 2022 to Mar 27, 2023
- HNW clients · 87 to 113Aug 3, 2022 to Mar 27, 2023
- Individual clients · 411 to 394Aug 3, 2022 to Mar 27, 2023
- Assets in custody · 6810000.0 to unsetAug 3, 2022 to Mar 27, 2023
- Custody of client assets · true to falseAug 3, 2022 to Mar 27, 2023
- Employees · 13 to 16Aug 3, 2022 to Mar 27, 2023
- State-registered IARs · 6 to 7Aug 3, 2022 to Mar 27, 2023
- Other offices · 2 to 1Aug 3, 2022 to Mar 27, 2023
- Discretionary RAUM · $313M to $294MAug 3, 2022 to Mar 27, 2023
- HNW RAUM · $149M to $208MAug 3, 2022 to Mar 27, 2023
- Individual RAUM · $145M to $99.1MAug 3, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $0 to $30.5MAug 3, 2022 to Mar 27, 2023
- RAUM · $313M to $324MAug 3, 2022 to Mar 27, 2023
- Advisory employees · 5 to 6Feb 9, 2022 to Aug 3, 2022
- Employees · 11 to 13Feb 9, 2022 to Aug 3, 2022
- State-registered IARs · 5 to 6Feb 9, 2022 to Aug 3, 2022
- Accounts · 1,620 to 1,755Mar 26, 2021 to Feb 9, 2022
- HNW clients · 53 to 87Mar 26, 2021 to Feb 9, 2022
- Individual clients · 748 to 411Mar 26, 2021 to Feb 9, 2022
Signals
14 dated events
- S•••••••• • A••••••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $420.3M)Jan 2, 2026 · Left the SEC roster · derived
- L••• D••••• E••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- J•••• C•••••• S•••••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- F•••• L•• S•••••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-24)Dec 31, 2025 · Advisor changed firm · fact
- S•••••••• • A••••••••• I•••'s advisors moved to C••• L•• (Anchorage, AK): 6 of 7 registered, on the same dayDec 31, 2025 · Firm absorbed (people side) · derived
- J••• J••••• R•••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- M•••• V•••••• S•••••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- E••••• P••• H••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- C•••••••• J• G••••••••• left S•••••••• • A••••••••• I••• for C••• L•• (registered 2025-09-23)Dec 31, 2025 · Advisor changed firm · fact
- J•••• T••••• F••••• left S•••••••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2024-10-14)Sep 16, 2024 · Advisor changed firm · fact
- R••• C•••• C••••• left S•••••••• • A••••••••• I••• for J••••• F•••••••• (registered 2023-12-13)Apr 3, 2024 · Advisor changed firm · fact
- Paul Edward Hoyt (Chief Investment Officer) appeared on Schedule A of S•••••••• • A••••••••• I•••Mar 13, 2024 · Control person joined · fact
- Michael James Cullen (Chief Compliance Officer) appeared on Schedule A of S•••••••• • A••••••••• I•••Mar 31, 2020 · Control person joined · fact
- S•••••••• • A••••••••• I••• filed its initial SEC registration (Form ADV)Mar 31, 2015 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026