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
L•••••• R••••• I••••••••• A•••••••• P•••••••
Latest filing Mar 12, 2026
First filing on the tape Mar 22, 2013 · 37 filings
SEC status approved since Apr 8, 2013
RAUM
$958M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$899M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$958M as of Mar 12, 2026
Mar 4, 2014$312M then
HNW client RAUM$609M as of Mar 12, 2026
Mar 23, 2018$246M then
State-registered IARs (5.B.3)9 as of Mar 12, 2026
Mar 4, 20145 then
Employees (5.A)19 as of Mar 12, 2026
Mar 4, 201413 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 8 to 9offices 3 to 2
Practice profile
derived from the filing of Mar 12, 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
- Planning-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
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $292,384derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,130reportedItem 5.H
- Custody
- $776M, 1,038 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$609M64%
- Individuals$290M31%
- Corporations and businesses$24.5M2.6%
- Charitable organizations$11.2M1.2%
- Pension and profit-sharing plans$11.1M1.2%
- State and municipal entities$2.7M0.3%
- Individual clients
- 810reported
- HNW clients
- 268reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 3,277reported
- Financial planning clients
- 1,130reported
- Wrap fee programs
- noreported
- Custody of client assets
- $776M for 1,038 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| B••••••• J••• R•••••Certified Financial Planner | Yakima, Wa | Jan 22, 1998 | 29 y | 1 |
| J•• S•••••• S••••••••Certified Financial Planner | Yakima, Wa | Jan 4, 2001 | 26 y | 1 |
| M•••••• J•••• H••••••••• | Yakima, Wa | Aug 29, 2013 | 19 y | 0 |
| S•••• M•••• V•• T•••• | Yakima, Wa | Jan 13, 2015 | 26 y | 1 |
| D••• B•••• B•••• | Yakima, Wa | Jan 8, 2016 | 10 y | 0 |
| C•••••• M•••• S••••Certified Financial Planner | Yakima, Wa | Dec 17, 2019 | 12 y | 0 |
| G••••• H••••••• | Yakima, Wa | Apr 4, 2023 | 11 y | 1 |
| Q•••••• R••••• R••••• | Yakima, Wa | Jan 14, 2025 | 11 y | 0 |
| E•••• R••••• B••••• | Yakima, Wa | May 21, 2025 | 11 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
- G••••• H••••••• from E••••• J••••Apr 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••• V•• T•••• from L•• F•••••••• L••Jan 13, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• M••••••• J•••• · Ciocontrolsince 01/2019 · owns 5% to 10%
- R•••••• B•••••••• J••• · Member / Chief Compliance Officercontrolsince 12/2001 · owns 25% to 50%
- S••••••••• J••• S•••••• · Membercontrolsince 12/2001 · owns 25% to 50%
- V•• T••••• S••••• M•••• · Chief Operating Officercontrolsince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• T•• G••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Yakima, Wa · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kirkland, WA4 employees
- Richland, WA3 employees
- Seattle, WA3 employees
What changed
consecutive filings, newest first
- Accounts · 3,055 to 3,277Oct 28, 2025 to Mar 12, 2026
- Advisory employees · 8 to 9Oct 28, 2025 to Mar 12, 2026
- Charity clients · 7 to 6Oct 28, 2025 to Mar 12, 2026
- HNW clients · 320 to 268Oct 28, 2025 to Mar 12, 2026
- Individual clients · 740 to 810Oct 28, 2025 to Mar 12, 2026
- Assets in custody · $779M to $776MOct 28, 2025 to Mar 12, 2026
- State-registered IARs · 8 to 9Oct 28, 2025 to Mar 12, 2026
- Other offices · 3 to 2Oct 28, 2025 to Mar 12, 2026
- Discretionary RAUM · $808M to $940MOct 28, 2025 to Mar 12, 2026
- HNW RAUM · $573M to $609MOct 28, 2025 to Mar 12, 2026
- Individual RAUM · $201M to $290MOct 28, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $15.7M to $18.4MOct 28, 2025 to Mar 12, 2026
- Pension RAUM · $9.9M to $11.1MOct 28, 2025 to Mar 12, 2026
- RAUM · $824M to $958MOct 28, 2025 to Mar 12, 2026
- Financial planning clients · More than 500 to More than 500Apr 29, 2025 to Jun 12, 2025
- Accounts · 2,897 to 3,055Dec 23, 2024 to Apr 29, 2025
- Advisory employees · 7 to 8Dec 23, 2024 to Apr 29, 2025
- HNW clients · 311 to 320Dec 23, 2024 to Apr 29, 2025
- Individual clients · 697 to 740Dec 23, 2024 to Apr 29, 2025
- Pension plan clients · 0.0 to unsetDec 23, 2024 to Apr 29, 2025
- Assets in custody · $428M to $779MDec 23, 2024 to Apr 29, 2025
- Employees · 15 to 19Dec 23, 2024 to Apr 29, 2025
- State-registered IARs · 7 to 8Dec 23, 2024 to Apr 29, 2025
- Discretionary RAUM · $699M to $808MDec 23, 2024 to Apr 29, 2025
- HNW RAUM · $493M to $573MDec 23, 2024 to Apr 29, 2025
- Individual RAUM · $178M to $201MDec 23, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $12.5M to $15.7MDec 23, 2024 to Apr 29, 2025
- Pension RAUM · $6.9M to $9.9MDec 23, 2024 to Apr 29, 2025
- RAUM · $712M to $824MDec 23, 2024 to Apr 29, 2025
- Accounts · 2,811 to 2,897May 5, 2023 to Mar 15, 2024
- Advisory employees · 6 to 7May 5, 2023 to Mar 15, 2024
- HNW clients · 265 to 311May 5, 2023 to Mar 15, 2024
- Individual clients · 726 to 697May 5, 2023 to Mar 15, 2024
- Pension plan clients · unset to 0.0May 5, 2023 to Mar 15, 2024
- Assets in custody · $309M to $428MMay 5, 2023 to Mar 15, 2024
- Employees · 13 to 15May 5, 2023 to Mar 15, 2024
- State-registered IARs · 6 to 7May 5, 2023 to Mar 15, 2024
- Discretionary RAUM · $596M to $699MMay 5, 2023 to Mar 15, 2024
- HNW RAUM · $396M to $493MMay 5, 2023 to Mar 15, 2024
- Individual RAUM · $179M to $178MMay 5, 2023 to Mar 15, 2024
Signals
4 dated events
- M•••• Susan Van Tress (Chief Operating Officer) appeared on Schedule A of L•••••• R••••• I••••••••• A•••••••• P•••••••Nov 15, 2021 · Control person joined · fact
- James Matthew Hargreaves (Cio) appeared on Schedule A of L•••••• R••••• I••••••••• A•••••••• P•••••••Mar 20, 2019 · Control person joined · fact
- L•••••• R••••• I••••••••• A•••••••• P••••••• reported RAUM $480.0M, up 28% from $376.0M (2017-09-27 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- L•••••• R••••• I••••••••• A•••••••• P••••••• filed its initial SEC registration (Form ADV)Mar 22, 2013 · 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 phone
- 509-943-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 509-946-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-644-7877reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- bestpathforward.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-972-3686reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- bestpathforward.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bestpathforward.com/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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026