DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• A•••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 8, 2012 · 51 filings
SEC status approved since Apr 8, 2005
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$711M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
1
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$1.3B as of Mar 17, 2026
Mar 8, 2012$90.7M then
HNW client RAUM$369M as of Mar 17, 2026
Mar 20, 2018$60.6M then
State-registered IARs (5.B.3)10 as of Mar 17, 2026
Mar 8, 20120 then
Employees (5.A)14 as of Mar 17, 2026
Apr 30, 20131 then
Private funds1 as of Mar 17, 2026
Mar 31, 20151 then
RAUM +23% over the last fiscal year+24% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $242,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.1derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$542M42%
- High-net-worth individuals$369M28%
- Individuals$342M26%
- Investment companies$21.7M1.7%
- Pooled investment vehicles$19.7M1.5%
- Pension and profit-sharing plans$5.5M0.4%
- Individual clients
- 944reported
- HNW clients
- 209reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 5,353reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.55 fund_share=0.45 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••• M•••Certified Financial Planner, Chartered Financial Consultant | Kirkland, Wa | Oct 4, 2001 | 35 y | 0 |
| F•••••• J•••• R•••• | Vancouver, Wa | Mar 1, 2017 | 11 y | 0 |
| K•••• J••• W••••••• | Vancouver, Wa | Apr 17, 2020 | 31 y | 8 |
| J•••• Y••••••••• Z••••••• | Whitehouse Station, Nj | Jan 6, 2021 | 27 y | 2 |
| M••• K•••••••• R•••••••• | Vancouver, Wa | Aug 8, 2022 | 14 y | 0 |
| P••• J••••• P••••••• | Vancouver, Wa | Feb 3, 2023 | 34 y | 4 |
| T••• S••••••• J•••••Chartered Financial Analyst | Miamisburg, Oh | May 30, 2023 | 23 y | 3 |
| K••••• C••••••• | Vancouver, Wa | Nov 16, 2023 | 17 y | 0 |
| T•• H••• V•• N•••••Chartered Financial Analyst | Vancouver, Wa | Aug 11, 2025 | 11 y | 0 |
| T•••••• S•••• N•••••Chartered Financial Analyst | Vancouver, Wa | Jul 2, 2026 | 32 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••• T•••••• R•••• to M•••••• P•••••• W•••••Jul 8, 2025 · Other
- A•••• L••••• W•••••• to A••• T•• • F•••••••• P•••••••Jan 9, 2023 · RIA to a state-registered adviser
- J••••• F•••• L•••• to V••• W••••• M••••••••• P•••Nov 29, 2021 · RIA to RIA
- J••• A••••• F••••• to A••••• C•••••• A••••••• L••Oct 12, 2018 · RIA to RIA
- E••• R•••••• L••••••• to S•••• F•••••••• I••••••••• I•••Jun 23, 2017 · Other
- D•••• M••• S••••••••• to S•• A••••••• L••Jul 5, 2016 · Other
- C••• A•••• C••••••• to F•••• A••••••• N•••••••• L••Jun 6, 2016 · Other
- K••••••• E•••••••• V••••• to T•••••• F••••••••Sep 11, 2015 · Other
- B•••• M• D•••• to E••••• J••••Dec 5, 2011 · Other
- J••••• A••••• B••••• to M•••••••• L••Nov 15, 2007 · Other
- T••••• W•••••• S•••• to O••••••••• • C•• I•••Jul 23, 2003 · Other
Joined, latest
- T•••••• S•••• N••••• from P•••••• P•••• A•••••••• L••Jul 2, 2026 · RIA to RIA
- T••• S••••••• J••••• from V••••• C•••••• M••••••••• I••May 30, 2023 · Other
- P••• J••••• P••••••• from T• A••••••••• I•••Feb 3, 2023 · Other
- J•••• Y••••••••• Z••••••• from S•••••••• A••••••• L••Jan 6, 2021 · Other
- A•••• L••••• W•••••• from M•••• W••••• A•••••••Dec 23, 2020 · Other
- K•••• J••• W••••••• from G••••••• C•••••• L••Apr 17, 2020 · Other
- D•••• M••• S••••••••• from R•••••• W••••• A•••••••• I•••Aug 5, 2015 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• S••••• C••••••• L•• | Hedge Fund | $19.7M | 35 | Mar 31, 2015 |
| C•••••••• C•••••• F••• I• L••no longer reported | Hedge Fund | $1.6M | 10 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- J•••••• T•••• S••••••• · President; Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- M•••• J•••••• M•••••• · Principalcontrolsince 10/2001 · owns less than 5%
- M•••• J•••••• M•••••• · Ownercontrolsince 07/2001 · owns 75% or more of S•••••• F•••••••• S•••••••• I•••
Entity owners
- S•••••• F•••••••• S•••••••• I••• · 79% Ownerdirect · owns 75% or more
- S••• L•• · 20% Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••••• C•••••• G••••• L••investment adviserpooled vehicle sponsorn
- J••••• M•••••• M•••pooled vehicle sponsory
- A•••••• S•••• W••••• M•••••••••, LLCinvestment advisernRAUM $377M
- R•••• S••••• A•••••••• L••investment adviserpooled vehicle sponsorn
- S•• A••••••• L••investment advisernRAUM $535M
- S•••••• F•••••••• S•••••••• I•••real estatey
- S•••••• M•••••• • A••••••••• L•• D•• S••••••investment companyn
Advisers that list S•••••• A•••• M••••••••• L•• as a related person
- 307997 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Vancouver, Wa · principal | 10 | 1 | 0 | ||
| Payson, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- S••••Sdale, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 5,659 to 5,353Mar 17, 2025 to Mar 17, 2026
- Advisory employees · 9 to 10Mar 17, 2025 to Mar 17, 2026
- Advisory activities · 6 to 7Mar 17, 2025 to Mar 17, 2026
- HNW clients · 200 to 209Mar 17, 2025 to Mar 17, 2026
- Individual clients · 898 to 944Mar 17, 2025 to Mar 17, 2026
- Pension plan clients · 15 to 2Mar 17, 2025 to Mar 17, 2026
- Pooled vehicle clients · 2 to 1Mar 17, 2025 to Mar 17, 2026
- Employees · 13 to 14Mar 17, 2025 to Mar 17, 2026
- State-registered IARs · 9 to 10Mar 17, 2025 to Mar 17, 2026
- Private funds · 2 to 1Mar 17, 2025 to Mar 17, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 17, 2025 to Mar 17, 2026
- HNW RAUM · $344M to $369MMar 17, 2025 to Mar 17, 2026
- Individual RAUM · $303M to $342MMar 17, 2025 to Mar 17, 2026
- Pension RAUM · $22.8M to $5.5MMar 17, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $20.3M to $19.7MMar 17, 2025 to Mar 17, 2026
- RAUM · $1.1B to $1.3BMar 17, 2025 to Mar 17, 2026
- Accounts · 5,972 to 5,659Jul 1, 2024 to Mar 17, 2025
- Advisory employees · 6 to 9Jul 1, 2024 to Mar 17, 2025
- HNW clients · 143 to 200Jul 1, 2024 to Mar 17, 2025
- Individual clients · 938 to 898Jul 1, 2024 to Mar 17, 2025
- Pension plan clients · 7 to 15Jul 1, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 1-10Jul 1, 2024 to Mar 17, 2025
- State-registered IARs · 8 to 9Jul 1, 2024 to Mar 17, 2025
- Other offices · 6 to 8Jul 1, 2024 to Mar 17, 2025
- Discretionary RAUM · $824M to $1.1BJul 1, 2024 to Mar 17, 2025
- HNW RAUM · $280M to $344MJul 1, 2024 to Mar 17, 2025
- Individual RAUM · $298M to $303MJul 1, 2024 to Mar 17, 2025
- Pension RAUM · $10.5M to $22.8MJul 1, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $13.5M to $20.3MJul 1, 2024 to Mar 17, 2025
- RAUM · $824M to $1.1BJul 1, 2024 to Mar 17, 2025
- HQ city · BELLEVUE to VANCOUVERJun 3, 2024 to Jul 1, 2024
- Pension plan clients · unset to 7.0Mar 15, 2024 to Jun 3, 2024
- Pooled vehicle clients · 7 to 2Mar 15, 2024 to Jun 3, 2024
- Financial planning clients · 51-100 to 0Mar 15, 2024 to Jun 3, 2024
- Discretionary RAUM · $810M to $824MMar 15, 2024 to Jun 3, 2024
- Pension RAUM · unset to 10493653.0Mar 15, 2024 to Jun 3, 2024
- Pooled vehicle RAUM · $10.5M to $13.5MMar 15, 2024 to Jun 3, 2024
- RAUM · $810M to $824MMar 15, 2024 to Jun 3, 2024
- Accounts · 1,114 to 5,972Aug 3, 2023 to Mar 15, 2024
- Advisory employees · 4 to 6Aug 3, 2023 to Mar 15, 2024
Signals
10 dated events
- R••• T•••••• R•••• left S•••••• A•••• M••••••••• L•• for M•••••• P•••••• W••••• (registered 2025-07-16)Jul 8, 2025 · a•••••• firm change · fact
- S•••••• A•••• M••••••••• L•• reported RAUM $1.1B, up 28% from $823.7M (2024-07-01 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- Sinclair Todd Jessup (President; Chief Compliance Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••Aug 3, 2023 · Control person joined · fact
- S•••••• A•••• M••••••••• L•• reported RAUM $678.2M, up 39% from $488.6M (2022-03-28 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- A•••• L••••• W•••••• left S•••••• A•••• M••••••••• L•• for A••• T•• • F•••••••• P••••••• (registered 2021-02-09)Jan 9, 2023 · a•••••• firm change · fact
- Jay Ronald Thompson (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2021-11-10, absent 2022-03-03)Mar 3, 2022 · Control person left · inference
- S•••••• A•••• M••••••••• L•• reported RAUM $467.7M, up 71% from $273.4M (2021-01-26 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Susan Katris (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2020-05-29, absent 2020-06-04)Jun 4, 2020 · Control person left · inference
- Jay Ronald Thompson (Chief Compliance Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••Jun 4, 2020 · Control person joined · fact
- Susan Katris (Chief Compliance Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••Mar 15, 2019 · Control person joined · 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
- 206-386-5455reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/synergy-asset-management-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- synergy-am.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 206-386-5455reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- synergy-am.com/team-synergyreportedpublished 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026