DFX Intelligence
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S•••• W••••• M••••••••• P•••
Independent wealth manager, based in Olympia, Washington, reporting $145M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $145M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 100% of RAUM, $145M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $123MRAUM now $145M
- Contact points 2
Every filed figure, and the identifiersCRD 116553 · SEC 801-123102 · 10 filingsShowHide
CRD 116553SEC 801-123102First filing on the tape Dec 22, 2021, latest Jun 4, 2026SEC status approved since Feb 10, 2022IAPD
RAUM
$145M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$145M as of Jun 4, 2026
Mar 7, 2022$120M then
HNW client RAUM$100M as of Jun 4, 2026
Mar 7, 2022$75.1M then
State-registered IARs (5.B.3)0 as of Jun 4, 2026
Mar 7, 20220 then
Employees (5.A)3 as of Jun 4, 2026
Mar 7, 20223 then
Private funds: no history
RAUM +18% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $48.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $674,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$100M69%
- Individuals$44.7M31%
- Individual clients
- 180reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 215reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• T••••• S••••Certified Financial Planner, Personal Financial Specialist | Olympia, Wa | Dec 29, 1998 | 34 y | 0 |
| R•••••• A•• S•••• | Olympia, Wa | Jul 4, 2016 | 27 y | 0 |
| T••••• M•••••• S••••Certified Financial Planner | Olympia, Wa | Jun 5, 2020 | 26 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
- S••••• G••••••• T••••• · Membercontrolsince 12/1996 · owns 75% or more
- S••••• R••••••• A•• · Ccosince 08/2021 · owns less than 5%
- S••••• T•••••• M•••••• · Membersince 12/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Olympia, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 231 to 215Apr 8, 2025 to Mar 17, 2026
- HNW clients · 28 to 35Apr 8, 2025 to Mar 17, 2026
- Individual clients · 203 to 180Apr 8, 2025 to Mar 17, 2026
- Discretionary RAUM · $122M to $144MApr 8, 2025 to Mar 17, 2026
- HNW RAUM · $76.1M to $100MApr 8, 2025 to Mar 17, 2026
- Individual RAUM · $47.1M to $44.7MApr 8, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $688,371 to $796,746Apr 8, 2025 to Mar 17, 2026
- RAUM · $123M to $145MApr 8, 2025 to Mar 17, 2026
- Accounts · 257 to 231Mar 5, 2024 to Apr 8, 2025
- HNW clients · 25 to 28Mar 5, 2024 to Apr 8, 2025
- Individual clients · 232 to 203Mar 5, 2024 to Apr 8, 2025
- Financial planning clients · 26-50 to 26-50Mar 5, 2024 to Apr 8, 2025
- Discretionary RAUM · $109M to $122MMar 5, 2024 to Apr 8, 2025
- HNW RAUM · $62.8M to $76.1MMar 5, 2024 to Apr 8, 2025
- Individual RAUM · $46.5M to $47.1MMar 5, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $0 to $688,371Mar 5, 2024 to Apr 8, 2025
- RAUM · $109M to $123MMar 5, 2024 to Apr 8, 2025
- Accounts · 269 to 257Sep 25, 2023 to Mar 5, 2024
- HNW clients · 26 to 25Sep 25, 2023 to Mar 5, 2024
- Individual clients · 243 to 232Sep 25, 2023 to Mar 5, 2024
- Discretionary RAUM · $105M to $109MSep 25, 2023 to Mar 5, 2024
- HNW RAUM · $61.2M to $62.8MSep 25, 2023 to Mar 5, 2024
- Individual RAUM · $43.5M to $46.5MSep 25, 2023 to Mar 5, 2024
- RAUM · $105M to $109MSep 25, 2023 to Mar 5, 2024
- Accounts · 248 to 269Mar 15, 2023 to Sep 25, 2023
- HNW clients · 30 to 26Mar 15, 2023 to Sep 25, 2023
- Individual clients · 218 to 243Mar 15, 2023 to Sep 25, 2023
- Discretionary RAUM · $105M to $105MMar 15, 2023 to Sep 25, 2023
- HNW RAUM · $64.8M to $61.2MMar 15, 2023 to Sep 25, 2023
- Individual RAUM · $40.3M to $43.5MMar 15, 2023 to Sep 25, 2023
- RAUM · $105M to $105MMar 15, 2023 to Sep 25, 2023
- Accounts · 256 to 248Mar 7, 2022 to Mar 15, 2023
- HNW clients · 52 to 30Mar 7, 2022 to Mar 15, 2023
- Individual clients · 204 to 218Mar 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $120M to $105MMar 7, 2022 to Mar 15, 2023
- HNW RAUM · $75.1M to $64.8MMar 7, 2022 to Mar 15, 2023
- Individual RAUM · $45.3M to $40.3MMar 7, 2022 to Mar 15, 2023
- RAUM · $120M to $105MMar 7, 2022 to Mar 15, 2023
- Accounts · 532 to 256Feb 7, 2022 to Mar 7, 2022
- HNW clients · 30 to 52Feb 7, 2022 to Mar 7, 2022
Signals
1 dated events
- ••• LockedDec 22, 2021 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 4, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 4, 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
- $48.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026