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.

Former SEC-registered adviser

Financial Management, Inc.

Former SEC-registered adviserYakima, WashingtonCRD 117578SEC 801-80360IAPD
Latest filing Mar 27, 2020
First filing on the tape Sep 15, 2014 · 16 filings
RAUM
$477M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$477M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$477M as of Mar 27, 2020
Mar 24, 2015$156M then
HNW client RAUM$113M as of Mar 27, 2020
Feb 28, 2018$89.0M then
State-registered IARs (5.B.3)14 as of Mar 27, 2020
Mar 24, 20159 then
Employees (5.A)14 as of Mar 27, 2020
Mar 24, 20159 then
Private funds: no history
RAUM +24% over the last fiscal year+24% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 27, 2020; every figure names its basis
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
156derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$141,391derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$364M76%
  • High-net-worth individuals$113M24%
Individual clients
2,135reported
HNW clients
42reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3,374reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $77.0M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Leroy Clark Permann · President And Chief Compliance Officercontrol
    since 03/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Spokane, WA6 employees
  • Spokane, WA2 employees
  • Kennewick, WA1 employees
  • Arlington, WA1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,032 to 3,374
    Oct 10, 2019 to Mar 27, 2020
  • Individual clients · 2,122 to 2,135
    Oct 10, 2019 to Mar 27, 2020
  • Discretionary RAUM · $382M to $476M
    Oct 10, 2019 to Mar 27, 2020
  • HNW RAUM · $88.7M to $113M
    Oct 10, 2019 to Mar 27, 2020
  • Individual RAUM · $298M to $364M
    Oct 10, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $4.4M to $713,552
    Oct 10, 2019 to Mar 27, 2020
  • RAUM · $386M to $477M
    Oct 10, 2019 to Mar 27, 2020
  • Wrap assets (manager) · $0 to $77.0M
    Oct 10, 2019 to Mar 27, 2020
  • Advisory employees · 13 to 14
    Apr 24, 2019 to Aug 21, 2019
  • Employees · 13 to 14
    Apr 24, 2019 to Aug 21, 2019
  • State-registered IARs · 13 to 14
    Apr 24, 2019 to Aug 21, 2019
  • Advisory employees · 14 to 13
    Mar 27, 2019 to Apr 4, 2019
  • Employees · 14 to 13
    Mar 27, 2019 to Apr 4, 2019
  • State-registered IARs · 14 to 13
    Mar 27, 2019 to Apr 4, 2019
  • Accounts · 2,612 to 3,032
    Oct 2, 2018 to Mar 27, 2019
  • Individual clients · 1,384 to 2,122
    Oct 2, 2018 to Mar 27, 2019
  • Discretionary RAUM · $349M to $382M
    Oct 2, 2018 to Mar 27, 2019
  • HNW RAUM · $89.0M to $88.7M
    Oct 2, 2018 to Mar 27, 2019
  • Individual RAUM · $265M to $298M
    Oct 2, 2018 to Mar 27, 2019
  • Non-discretionary RAUM · $5.3M to $4.4M
    Oct 2, 2018 to Mar 27, 2019
  • RAUM · $354M to $386M
    Oct 2, 2018 to Mar 27, 2019
  • Advisory employees · 15 to 14
    Aug 13, 2018 to Oct 2, 2018
  • BD registered reps · 13 to 12
    Aug 13, 2018 to Oct 2, 2018
  • Employees · 15 to 14
    Aug 13, 2018 to Oct 2, 2018
  • State-registered IARs · 15 to 14
    Aug 13, 2018 to Oct 2, 2018
  • Advisory employees · 14 to 15
    Apr 6, 2018 to Aug 13, 2018
  • BD registered reps · 12 to 13
    Apr 6, 2018 to Aug 13, 2018
  • Employees · 14 to 15
    Apr 6, 2018 to Aug 13, 2018
  • State-registered IARs · 14 to 15
    Apr 6, 2018 to Aug 13, 2018
  • Accounts · 1,947 to 2,612
    Mar 29, 2017 to Feb 28, 2018
  • Advisory employees · 16 to 14
    Mar 29, 2017 to Feb 28, 2018
  • BD registered reps · 15 to 12
    Mar 29, 2017 to Feb 28, 2018
  • Charity clients · unset to 0.0
    Mar 29, 2017 to Feb 28, 2018
  • Corporate clients · unset to 0.0
    Mar 29, 2017 to Feb 28, 2018
  • HNW clients · unset to 42.0
    Mar 29, 2017 to Feb 28, 2018
  • Individual clients · unset to 1384.0
    Mar 29, 2017 to Feb 28, 2018
  • Pension plan clients · unset to 0.0
    Mar 29, 2017 to Feb 28, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 29, 2017 to Feb 28, 2018
  • Employees · 16 to 14
    Mar 29, 2017 to Feb 28, 2018
  • Insurance-licensed employees · 16 to 0
    Mar 29, 2017 to Feb 28, 2018
Signals
2 dated events
  • Financial Management, Inc. reported RAUM $353.9M, up 40% from $252.7M (2017-03-29 to 2018-02-28)
    Feb 28, 2018 · RAUM change · derived
  • Financial Management, Inc. filed its initial SEC registration (Form ADV)
    Sep 15, 2014 · 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