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
C••••••••• W••••• M•••••••••
Legal name C••••••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since Apr 18, 2008
RAUM
$338M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$334M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$56.4M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$338M as of Mar 31, 2026
Mar 27, 2012$294M then
HNW client RAUM$244M as of Mar 31, 2026
Mar 29, 2018$157M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)11 as of Mar 31, 2026
Mar 27, 201314 then
Private funds: no history
RAUM +9.7% over the last fiscal year+6.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- $56.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $199,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Custody
- $80.6M, 317 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
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M72%
- Individuals$90.0M27%
- Corporations and businesses$2.4M0.7%
- Pension and profit-sharing plans$2.3M0.7%
- Individual clients
- 270reported
- HNW clients
- 108reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 1,700reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $80.6M for 317 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• L•••• A••••• | Lynnwood, Wa | Feb 1, 2008 | 25 y | 0 |
| B•••• J••••• L••••••Certified Financial Planner | Lynnwood, Wa | Mar 28, 2008 | 24 y | 1 |
| K••• A••• M••••••••• | Lynnwood, Wa | Jul 13, 2009 | 17 y | 0 |
| J••••• A•••• T••••• | Lynnwood, Wa | Mar 11, 2024 | 12 y | 2 |
| S••••• T•••••••• | Lynnwood, Wa | Mar 11, 2024 | 11 y | 2 |
| C•••• A•••••••• F••••••• | Lynnwood, Wa | Mar 12, 2024 | 11 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 headcount0 left over 36 months
Left, latest
- M••••• D• K••••• to J••••• C•••••• A••••••• L••Jul 5, 2023 · RIA to RIA
Joined, latest
- C•••• A•••••••• F••••••• from A••••••••• F•••••••• S•••••••• L••Mar 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• A•••• T••••• from I••••••••• F•••••••• G••••• L••Mar 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• T•••••••• from I••••••••• F•••••••• G••••• L••Mar 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••••• D• K••••• from I••••••••• F•••••••• G••••• L••Sep 10, 2020 · RIA to RIA
- B•••• J••••• L•••••• from G••••• W••••• M••••••••• I•••Mar 28, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••••• F•••••••• G••••• L••Mar 11, 2024 · Lynnwood, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• M•••••• L•••• · Chief Investment Officercontrolsince 06/2013 · owns less than 5%
- L••••••• B••••• J••••• · Vice Presidentcontrolsince 06/2013 · owns less than 5%
- L••••••• S••••• M••••••• · Presidentcontrolsince 07/2014 · owns less than 5%
- Y•••••• C••••••••• A• · Chief Compliance Officercontrolsince 09/2012 · owns less than 5%
- A•••••• M•••••• L•••• · Presidentcontrolsince 01/2009 · owns 75% or more of Fupa, Inc.
- L••••••• B••••• J••••• · Presidentcontrolsince 11/2006 · owns 50% to 75% of B & S Lockett, Inc.
- L••••••• S••••• M••••••• · Vice Presidentcontrolsince 11/2006 · owns 50% to 75% of B&S Lockett, Inc.
Entity owners
- B•• L••••••• I••• · Memberdirect · owns 50% to 75%
- F•••• I••• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lynnwood, Wa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,677 to 1,700Apr 30, 2025 to Mar 31, 2026
- Corporate clients · 8 to 5Apr 30, 2025 to Mar 31, 2026
- HNW clients · 90 to 108Apr 30, 2025 to Mar 31, 2026
- Individual clients · 347 to 270Apr 30, 2025 to Mar 31, 2026
- Assets in custody · $121M to $80.6MApr 30, 2025 to Mar 31, 2026
- Employees · 12 to 11Apr 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $296M to $323MApr 30, 2025 to Mar 31, 2026
- HNW RAUM · $201M to $244MApr 30, 2025 to Mar 31, 2026
- Individual RAUM · $102M to $90.0MApr 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $12.6M to $15.7MApr 30, 2025 to Mar 31, 2026
- Pension RAUM · $2.2M to $2.3MApr 30, 2025 to Mar 31, 2026
- RAUM · $308M to $338MApr 30, 2025 to Mar 31, 2026
- Accounts · 1,633 to 1,677Sep 20, 2024 to Apr 30, 2025
- Charity clients · 1 to 0Sep 20, 2024 to Apr 30, 2025
- Corporate clients · 5 to 8Sep 20, 2024 to Apr 30, 2025
- HNW clients · 79 to 90Sep 20, 2024 to Apr 30, 2025
- Individual clients · 379 to 347Sep 20, 2024 to Apr 30, 2025
- Pension plan clients · 4 to 6Sep 20, 2024 to Apr 30, 2025
- Assets in custody · $60.0M to $121MSep 20, 2024 to Apr 30, 2025
- Employees · 13 to 12Sep 20, 2024 to Apr 30, 2025
- Financial planning clients · 251-500 to 251-500Sep 20, 2024 to Apr 30, 2025
- Discretionary RAUM · $288M to $296MSep 20, 2024 to Apr 30, 2025
- HNW RAUM · $182M to $201MSep 20, 2024 to Apr 30, 2025
- Individual RAUM · $113M to $102MSep 20, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $10.3M to $12.6MSep 20, 2024 to Apr 30, 2025
- Pension RAUM · $230,434 to $2.2MSep 20, 2024 to Apr 30, 2025
- RAUM · $299M to $308MSep 20, 2024 to Apr 30, 2025
- Advisory activities · 3 to 4Mar 29, 2024 to Sep 19, 2024
- BD registered reps · 3 to 0Mar 29, 2024 to Sep 19, 2024
- State-registered IARs · 3 to 2Mar 29, 2024 to Sep 19, 2024
- Wrap assets (manager) · 0.0 to unsetMar 29, 2024 to Sep 19, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 29, 2024 to Sep 19, 2024
- Accounts · 1,578 to 1,633Nov 8, 2023 to Mar 29, 2024
- Corporate clients · 0 to 5Nov 8, 2023 to Mar 29, 2024
- HNW clients · 80 to 79Nov 8, 2023 to Mar 29, 2024
- Individual clients · 398 to 379Nov 8, 2023 to Mar 29, 2024
- Pension plan clients · 8 to 4Nov 8, 2023 to Mar 29, 2024
- Assets in custody · $58.4M to $60.0MNov 8, 2023 to Mar 29, 2024
- Employees · 12 to 13Nov 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $276M to $288MNov 8, 2023 to Mar 29, 2024
Signals
3 dated events
- 2 advisors left Independent Financial Group, LLC (Lynnwood, WA) for Comprehensive Wealth Management on the same dayMar 11, 2024 · Team lift-out · derived
- Marcus D Knauss left Comprehensive Wealth Management for Joslin Capital Advisors Llc (registered 2023-07-05)Jul 5, 2023 · Advisor changed firm · fact
- Comprehensive Wealth Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 3, 2016 · Succession (Item 4) · 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
- 425-778-6160reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-268-2440reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/COMPREHENSIVE-WEALTH-MANAGEMENT-LLC?TRKreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CWMNW.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-778-6160reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- cwmnw.com/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
- $56.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026